James B. Graham
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Barrie Graham, who also goes by Barrie Graham, J. Barrie Graham, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2011. James had worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2020 - December 11, 2024
I5EQUITY
August 4, 2015 - June 7, 2018
W.R. HAMBRECHT + CO., LLC
July 12, 2011 - July 15, 2013
W.R. HAMBRECHT + CO., LLC
State Registrations and Notice Filings
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Exams
Current Firm
I5EQUITY
CRD#: 298949 / SEC#: , 8-70216
Contact information
FINRA licenses (13 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
