Graham T. Jewell
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.
Graham Tarlton Jewell, who also goes by Graham T Jewell, Graham Jewell, was a registered financial professional .
Graham is a previously registered financial professional and started their career in finance in 2024. Graham had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2024 - July 28, 2026
PRINCIPAL ADVISED SERVICES
August 20, 2024 - July 28, 2026
PRINCIPAL SECURITIES, INC.
January 23, 2024 - July 10, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
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 7TO
Date: 9/4/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/23/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 |
Red Flags
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