Jeffrey T. Graves

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CRD#: 6952530

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.

Jeffrey Travis Graves, who also goes by Jeff Graves, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 2018. Jeffrey had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeff 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.

Three Cords Properties, LLC Type of business: Business to buy Rental Property Thompsons Station, TN Start date: 7/19/2021 Owner/Member Hours per week: 5 Hours during trading: 0 An LLC to buy rental property. Williamson County Commissioner - Elected Official who serves on the legislative branch of the county government. Smith Wynd CPA - Registered Enrolled Agent that does tax work for the firm.

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

December 23, 2024 - May 1, 2025

SMITH WYND CAPITAL LLC

RIA

CRD#: 333042

FRANKLIN, TN

Past

November 2, 2022 - May 2, 2025

WESTMINSTER FINANCIAL ADVISORY CORP

RIA

CRD#: 110283

Spring Hill, TN

Past

November 1, 2022 - May 2, 2025

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

Spring Hill, TN

Past

August 7, 2018 - November 1, 2022

EDWARD JONES

RIA

CRD#: 250

SPRING HILL, TN

Past

July 13, 2018 - November 1, 2022

EDWARD JONES

CRD#: 250

SPRING HILL, TN

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".

SMITH WYND CAPITAL LLC

CRD#: 333042 / SEC#: 801-131244

RIA

Registered Investment Advisory firm - (10/9/2024 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.

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: 8/2/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/13/2018

General Securities Representative Examination

Current Firm

SMITH WYND CAPITAL LLC

CRD#: 333042 / SEC#: 801-131244

RIA

Registered Investment Advisory firm - (10/9/2024 Approved)

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Contact information

Main Address

9000 Carothers Pkwy, Suite 100, Franklin, TN 37067

Mailing Address

Phone number

(615) 794-8881

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- SMITH WYND CAPITAL LLC (3/19/2025)

Regulatory assets under management

Total Number of Accounts	394
AUM (Assets Under Management)	$ 129,351,946

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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Firm Stability Insights

Jeffrey T. Graves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SMITH WYND CAPITAL LLC

WESTMINSTER FINANCIAL ADVISORY CORP

WESTMINSTER FINANCIAL SECURITIES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

SMITH WYND CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2018

SIE

Date: 10/1/2018

Series 7

Date: 7/13/2018

Current Firm

SMITH WYND CAPITAL LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMITH WYND CAPITAL LLC

TRUST BUT VERIFY

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