Nathan W. Graves

KIPOS WEALTH

Kapolei, HI

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CRD#: 6511790

Professional summary

Nathan William Graves, who also goes by Nathan W Graves, is a registered financial advisor currently at KIPOS WEALTH located in Kapolei, Hawaii.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Nathan has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nathan W Graves

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.

Name of Outside Business: Insurance agent/broker; Investment Related: Yes; Address of Outside Business: 1332 Teasley Ln, Suite 229, Denton TX 76205; Nature of Outside Business: Insurance; Position: Insurance Agent/Broker; Start Date:12/1/2023; Hours per month: 0-10; Hours per month during securities trading hours: 0-10; Description of Duties: offer insurance products to firm clients and receive customary fees as a result of insurance sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan William Graves'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

December 1, 2023 - Present

KIPOS WEALTH

RIA

CRD#: 323987

Kapolei, HI

Past

March 8, 2016 - December 5, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HONOLULU, HI

Past

December 16, 2015 - December 5, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HONOLULU, HI

Past

July 9, 2015 - November 20, 2015

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

JUNEAU, AK

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.

Highlighted states indicate IAR registrations

IAR

Alaska
(12/22/2023)

IAR

Hawaii
(12/1/2023)

IAR

Texas
(2/1/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/5/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/7/2015

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: 1/23/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/9/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KIPOS WEALTH

KIPOS WEALTH | KIPOS WEALTH LLC

CRD#: 323987 / SEC#: 801-127174

RIA

Registered Investment Advisory firm - (11/9/2023 Terminated)

Alaska

Registered Investment Advisory firm - (12/5/2023 Approved)

Hawaii

Registered Investment Advisory firm - (10/12/2023 Approved)

Texas

Registered Investment Advisory firm - (10/12/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1332 Teasley Ln Suite 229, Denton, TX 76205

Mailing Address

Phone number

(214) 799-0229

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	333
AUM (Assets Under Management)	$ 96,663,958

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.

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Nathan W. Graves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan William Graves's CRS (Customer Relationship Summary).

Certified licenses

Experience

KIPOS WEALTH

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STATE FARM VP MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/5/2016

Series 63

Date: 7/7/2015

SIE

Date: 10/1/2018

Series 7

Date: 1/23/2016

Series 6

Date: 7/9/2015

Current Firm

KIPOS WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KIPOS WEALTH

TRUST BUT VERIFY

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