Andrew 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.
Andrew Michael Graham was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2019. Andrew had worked at 3 firms and has passed the Series 99TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2021 - January 11, 2024
TD AMERITRADE, INC.
May 11, 2021 - January 11, 2024
TD AMERITRADE CLEARING, INC.
July 18, 2019 - January 10, 2024
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 7/18/2019
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 144 |
Red Flags
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