Kelsey Dubois Graham Iii
Professional Summary
Kelsey Dubois Graham III is a registered financial advisor currently at TOCQUEVILLE SECURITIES L.P. located in Vero Beach, Florida. Kelsey is registered as a RR (Registered Representative) and started their career in finance in 2011. Kelsey has worked at 1 firm and has passed the Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
LEPERCQ, DE NEUFLIZE/TOCQUEVILLE SECURITIES, L.P. | TOCQUEVILLE SECURITIES L.P.
Contact Information
Main Address
40 West 57th Street 19th Floor, New York, NY, 10019Mailing Address
40 West 57th Street 19th Floor, New York, NY, 10019Phone Number
(212) 698-0800Established
Delaware since 01/04/1990Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | — |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER | — |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kelsey Dubois Graham III's CRS (Customer Relationship Summary).
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