Tyler N. Graffeo

DOVE INVESTMENT RESEARCH AND MANAGEMENT

Irvine, CA 92618

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CRD#: 7131352

Professional summary

Tyler Nicholas Graffeo, who also goes by Tyler Graffeo, is a registered financial advisor currently at DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC. located in Irvine, California and LPL FINANCIAL LLC located in Irvine, California.

Tyler is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Tyler has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tyler Graffeo

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.

1) 07/14/2023 - Dove Investments - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 900 Hours per month. 2) 5/1/2024: Dove Investment Research and Management, Inc.; At reported business location(s); Registered Investment Advisor Hybrid; Inv. Related; start date: 6/1/2022; 160 hrs/mo during trading; I provide investment advisory services through Dove Investment Research and Management, Inc., an independent investment advisor firm. I started this business activity in 06/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tyler Nicholas Graffeo's CRS (Customer Relationship Summary).

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

Current

April 29, 2024 - Present

DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC.

Office #1: 100 Pacifica Suite 370, Irvine, CA 92618

RIA

CRD#: 300058

Irvine, CA

Current

August 11, 2023 - Present

LPL FINANCIAL LLC

Office #1: 100 Pacifica Suite 370, Irvine, CA 92618-7449

RIA

CRD#: 6413

Irvine, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/26/2023)

IAR

California
(4/29/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/25/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/10/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/1/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC.

CRD#: 300058 / SEC#:

California

Registered Investment Advisory firm - (5/22/2019 Approved)

Idaho

Registered Investment Advisory firm - (8/2/2024 Approved)

Texas

Registered Investment Advisory firm - (1/15/2020 Conditional Restricted)

Utah

Registered Investment Advisory firm - (6/6/2023 Approved)

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Contact information

Main Address

100 Pacifica Suite 370, Irvine, CA 92618

Mailing Address

Phone number

(949) 276-5800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	413
AUM (Assets Under Management)	$ 90,562,704

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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Tyler N. Graffeo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tyler Nicholas Graffeo's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC.

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2023

Series 7TO

Date: 8/10/2023

SIE

Date: 7/1/2023

FINRA

Current Firm

DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DOVE INVESTMENT RESEARCH AND MANAGEMENT, INC.

TRUST BUT VERIFY

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