Aaron E. 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.
Aaron Epps Graham, CFP® was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2016. Aaron had worked at 4 firms and has passed the Series 66, SIE and Series 7TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2021 - May 27, 2022
BALLAST POINT FINANCIAL PLANNING, LLC
November 18, 2020 - February 6, 2021
INDEPENDENT ADVISOR ALLIANCE, LLC
November 9, 2020 - March 16, 2021
LPL FINANCIAL LLC
June 9, 2016 - August 5, 2020
ABACUS PLANNING GROUP, INC.
Primary Firm SEC Registration
BALLAST POINT FINANCIAL PLANNING, LLC
CRD#: 283295 / SEC#: 801-132445
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 9/29/2020
General Securities Representative ExaminationCurrent Firm
BALLAST POINT FINANCIAL PLANNING, LLC
CRD#: 283295 / SEC#: 801-132445
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 197 |
| AUM (Assets Under Management) | $ 130,333,588 |
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.
