Griffith E. Graham

JOHN HANCOCK PERSONAL FINANCIAL SERVICES

Atlanta, GA 30338

Some features on this profile are disabled

CRD#: 6242907

Professional summary

Griffith Eugene Graham II, who also goes by Griff Graham, Griffith Graham, Griff Graham, Griffith Eugene Graham, is a registered financial advisor currently at JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC located in Atlanta, Georgia and JOHN HANCOCK DISTRIBUTORS LLC located in Atlanta, Georgia.

Griffith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Griffith has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Griff Graham | Griffith Graham | Griff Graham | Griffith Eugene Graham

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Griffith Eugene Graham II's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 25, 2022 - Present

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

Office #1: 1050 Crown Pointe Parkway Suite 1800, Atlanta, GA 30338

RIA

CRD#: 174433

Atlanta, GA

Current

June 7, 2022 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 1050 Crown Pointe Parkway Suite 1100, Atlanta, GA 30338

CRD#: 5249

Atlanta, GA

Past

March 9, 2021 - May 12, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MARIETTA, GA

Past

March 8, 2021 - May 12, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MARIETTA, GA

Past

May 20, 2020 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Marietta, GA

Past

May 20, 2020 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

Sandy Springs, GA

Past

May 19, 2020 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

Sandy Springs, GA

Past

January 16, 2020 - April 27, 2020

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

ATLANTA, GA

Past

February 28, 2018 - January 14, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

MARIETTA, GA

Past

February 26, 2018 - January 14, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

MARIETTA, GA

Past

February 26, 2018 - January 14, 2020

TD AMERITRADE, INC.

CRD#: 7870

MARIETTA, GA

Past

March 8, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

March 1, 2016 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

MARIETTA, GA

Past

October 9, 2015 - February 18, 2016

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

November 11, 2013 - June 16, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

RESTON, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433 / SEC#: 801-80927

RIA

Registered Investment Advisory firm - (2/13/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/7/2022)

Florida
(6/7/2022)

Georgia
(6/7/2022)

IAR

Georgia
(6/25/2022)

Massachusetts
(6/7/2022)

IAR

Massachusetts
(6/28/2022)

Tennessee
(6/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/1/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/18/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433 / SEC#: 801-80927

RIA

Registered Investment Advisory firm - (2/13/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 Berkeley Street, Boston, MA 02116

Mailing Address

Phone number

(617) 572-0109

Established

Firm type

Fiscal year end

# of Employees

163

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JOHN HANCOCK PERSONALIZED RETIREMENT ADVICE (3/28/2025)

JOHN HANCOCK MANAGED IRA (3/28/2025)

MANULIFE JOHN HANCOCK PRIVATE WEALTH (3/28/2025)

JH ADVICE FINANCIAL PLANNING (3/28/2025)

MYPORTFOLIO (3/28/2025)

Regulatory assets under management

Total Number of Accounts	32,545
AUM (Assets Under Management)	$ 1,975,740,842

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/21/2025	Cover Page	Report
04/22/2024	Cover Page	Report
01/25/2023	Cover Page	Report

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.

Similar Advisors

Robert Busby

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Atlanta, GA

Tyrane Perry

J.P. MORGAN SECURITIES LLC

IAR

Atlanta, GA

Alexander Paslay

KESTRA ADVISORY SERVICES, LLC

IAR

Woodstock, GA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Griffith E. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Griffith Eugene Graham II's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK DISTRIBUTORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

PERSONAL CAPITAL ADVISORS CORPORATION

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

E*TRADE SECURITIES LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/1/2017

Series 63

Date: 11/18/2013

SIE

Date: 10/1/2018

Series 7

Date: 11/11/2013

FINRA

Current Firm

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors