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GH

Graeme D. Harten

ARTISAN PARTNERS DISTRIBUTORS
San Francisco, CA 94129
Some features on this profile are disabled
CRD#: 6351267
GH

Professional summary

Graeme Dixon Harten is a registered financial professional currently at ARTISAN PARTNERS DISTRIBUTORS LLC located in San Francisco, California.

Graeme is registered as a RR (Registered Representative) and started their career in finance in 2015. Graeme has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Graeme Dixon Harten's 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

September 10, 2021 - Present

ARTISAN PARTNERS DISTRIBUTORS LLC

Office #1: 38 Keyes Avenue, Suite 219, San Francisco, CA 94129
BD
CRD#: 45446
San Francisco, CA
Past

February 4, 2016 - September 13, 2019

CICC US SECURITIES, INC.

BD
CRD#: 143221
NEW YORK, NY
Past

November 9, 2015 - February 1, 2016

MARKETAXESS CORPORATION

BD
CRD#: 44542
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/24/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AP
ARTISAN PARTNERS DISTRIBUTORS LLC
ARTISAN DISTRIBUTORS LLC | ARTISAN PARTNERS DISTRIBUTORS LLC

CRD#: 45446 / SEC#: , 8-51043

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
875 E. Wisconsin Avenue Suite 800, Milwaukee, WI 53202
Mailing Address
875 E. Wisconsin Avenue Suite 800, Milwaukee, WI 53202
Phone number
(414) 390-6100
Established
Wisconsin since 12/12/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ARTISAN PARTNERS HOLDINGS LPSOLE MEMBER OF LLC
DEMSKI, JILL MARIECHIEF COMPLIANCE OFFICER4313464
HAMMAN, JAMES STEPHEN JRVICE PRESIDENT & SECRETARY2767492
KREIN, CHRISTOPHER JONVICE PRESIDENT4534130
RAMIREZ, GREGORY KENNETHCHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER3094595
VON HOFF, RYAN GEORGEVICE PRESIDENT, TREASURER AND CHIEF FINANCIAL OFFICER7169306

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.

Company Information

ARTISAN PARTNERS DISTRIBUTORS LLC

CRD#: 45446San Francisco, CA 94129

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