Robert E. 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.
Robert E Graham, who also goes by Bob Graham, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2015 - September 13, 2016
UHLMANN PRICE SECURITIES, LLC
July 13, 2015 - September 3, 2015
ALLEN C. EWING & CO.
January 2, 2014 - June 8, 2016
HAYDEN ROYAL
January 8, 2009 - September 27, 2013
UBS FINANCIAL SERVICES INC.
January 8, 2009 - September 27, 2013
UBS FINANCIAL SERVICES INC.
December 20, 2007 - January 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 1984 - January 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 1984 - October 10, 1984
CITIGROUP GLOBAL MARKETS INC.
January 7, 1981 - May 3, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 1980 - January 19, 1981
E. F. HUTTON & COMPANY 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
Series 15
Date: 11/29/1990
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 2/27/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UHLMANN PRICE SECURITIES, LLC
CRD#: 42854 / SEC#: , 8-50041
Contact information
FINRA licenses (51 States and Territories)
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.
