Casey M. 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.
Casey Mark Key Graham, who also goes by Casey Graham, was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 2017. Casey had worked at 5 firms and has passed the Series 66, Series 7TO, 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 27, 2022 - November 24, 2023
LION STREET FINANCIAL, LLC
September 21, 2022 - November 24, 2023
LION STREET ADVISORS, LLC
November 13, 2019 - September 30, 2020
CETERA INVESTMENT SERVICES LLC
October 23, 2019 - September 30, 2020
CETERA INVESTMENT ADVISERS LLC
June 9, 2017 - October 31, 2017
EDWARD JONES
March 14, 2017 - October 31, 2017
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
