Daniel L. 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.
Daniel Lucas Graham was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2015. Daniel had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2016 - October 24, 2017
SUMMIT FINANCIAL GROUP INC
September 1, 2016 - October 24, 2017
SUMMIT BROKERAGE SERVICES, INC.
April 13, 2016 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
October 1, 2015 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
