John T. 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.
John Tyler Graham, who also goes by John Graham, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2017. John had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2019 - July 5, 2024
UNION SQUARE ADVISORS LLC
September 6, 2017 - August 15, 2019
DEUTSCHE BANK SECURITIES INC.
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
Current Firm
UNION SQUARE ADVISORS LLC
CRD#: 141254 / SEC#: 802-119325, 8-67371
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEACLIFF ADVISORS LLC | SOLE MEMBER OF THE APPLICANT | |
| KAWARABAYASHI, WAYNE I | CHIEF OPERATIONS OFFICER AND AML COMPLIANCE OFFICER | 3149707 |
| MCCLELLAND, WILLIAM CARTER | CHAIRMAN & CEO | 815173 |
| MEYER, MICHAEL WILLIAM | CHIEF EXECUTIVE OFFICER | 2021325 |
| POSTREL, HELENE BERSON | FINANCIAL OPERATIONS PRINCIPAL | 2240945 |
| SMITH, EDWARD RIFE | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2085236 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 4/4/2024 |
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.
