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KG

Kevin J. Graham

Some features on this profile are disabled
CRD#: 6656036
KG

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.

Kevin J Graham, who also goes by Kevin Jordan Graham, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2016. Kevin had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Jordan 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 4, 2026 - April 6, 2026

CIBC PRIVATE WEALTH ADVISORS, INC.

RIA
CRD#: 109644
Chicago, IL
Past

February 28, 2024 - February 6, 2026

LBMZ SECURITIES, INC.

BD
CRD#: 7874
CHICAGO, IL
Past

November 2, 2023 - February 6, 2026

ZACKS INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 110897
CHICAGO, IL
Past

June 3, 2021 - May 15, 2023

ROTHSCHILD WEALTH LLC

RIA
CRD#: 162442
CHICAGO, IL
Past

May 28, 2021 - May 15, 2023

HALO SECURITIES, LLC

BD
CRD#: 279029
Chicago, IL
Past

March 3, 2021 - May 25, 2021

HARRISDIRECT LLC

RIA
CRD#: 42159
CHICAGO, IL
Past

March 3, 2021 - May 25, 2021

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHICAGO, IL
Past

September 2, 2016 - October 13, 2020

LBMZ SECURITIES, INC.

BD
CRD#: 7874
CHICAGO, IL
Past

May 27, 2016 - October 5, 2020

ZACKS INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 110897
CHICAGO, IL

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".
CP
CIBC PRIVATE WEALTH ADVISORS, INC.
AT INVESTMENT ADVISERS, INC. | STEIN ROE INVESTMENT COUNSEL,LLC | STEIN ROE INVESTMENT COUNSEL, INC. | STEIN ROE INVESTMENT COUNSEL LLC | CIBC PRIVATE WEALTH MANAGEMENT | CIBC PRIVATE WEALTH ADVISORS, INC. | CIBC PRIVATE WEALTH ADVISORS INC. - TEAM GENEVA ADVISORS | ATLANTIC TRUST STEIN ROE | ATLANTIC TRUST PRIVATE WEALTH MANAGEMENT

CRD#: 109644 / SEC#: 801-57986

RIA
Registered Investment Advisory firm - (10/27/2000 Approved)

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: 9/23/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/27/2016
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/2016
General Securities Representative Examination

Current Firm

CP
CIBC PRIVATE WEALTH ADVISORS, INC.
AT INVESTMENT ADVISERS, INC. | STEIN ROE INVESTMENT COUNSEL,LLC | STEIN ROE INVESTMENT COUNSEL, INC. | STEIN ROE INVESTMENT COUNSEL LLC | CIBC PRIVATE WEALTH MANAGEMENT | CIBC PRIVATE WEALTH ADVISORS, INC. | CIBC PRIVATE WEALTH ADVISORS INC. - TEAM GENEVA ADVISORS | ATLANTIC TRUST STEIN ROE | ATLANTIC TRUST PRIVATE WEALTH MANAGEMENT

CRD#: 109644 / SEC#: 801-57986

RIA
Registered Investment Advisory firm - (10/27/2000 Approved)
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Contact information

Main Address
181 West Madison Street 36th Floor, Chicago, IL 60602
Mailing Address
Phone number
(312) 368-7700
Established
Firm type
Fiscal year end
# of Employees
570

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CIBC PRIVATE WEALTH ADVISORS INC BROCHURE (2/27/2026)

Regulatory assets under management

Total Number of Accounts28,865
AUM (Assets Under Management)$ 61,112,966,756

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/24/2025
Cover Page
Report
04/30/2025
Cover Page
Report
10/20/2023
Cover Page
Report
04/26/2023
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.

Company Information

CIBC PRIVATE WEALTH ADVISORS, INC.

CRD#: 109644

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