Thomas J. Grafton
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.
Thomas Joseph Grafton, who also goes by Tom Grafton, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 19 firms and has passed the Series 63, Series 7, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 1996 - June 19, 1996
THE CAMELOT GROUP, INC.
May 20, 1992 - September 28, 1994
SCHNEIDER SECURITIES, INC.
October 29, 1991 - May 11, 1992
AMR SECURITIES, INC.
June 8, 1991 - October 23, 1991
FIRST AFFILIATED SECURITIES
July 30, 1990 - November 8, 1990
TITAN/VALUE EQUITIES GROUP, INC.
August 31, 1987 - July 19, 1990
FIRST EAGLE, INC.
November 24, 1986 - August 25, 1987
AMERICAN FRONTEER FINANCIAL CORPORATION
July 21, 1986 - September 12, 1986
TAMARON INVESTMENTS, INC.
January 24, 1986 - July 7, 1986
LPL FINANCIAL LLC
September 9, 1985 - January 20, 1986
UBS FINANCIAL SERVICES INC.
August 16, 1985 - August 29, 1985
ALLIED CAPITAL GROUP, INC.
December 17, 1984 - May 15, 1985
J. W. GANT & ASSOCIATES, INC.
July 11, 1984 - December 10, 1984
CHESLEY AND DUNN, INC.
March 7, 1984 - May 29, 1985
MORGAN STANLEY DW INC.
January 18, 1982 - February 1, 1984
PIPER SANDLER & CO.
November 2, 1981 - February 25, 1982
THOMSON MCKINNON SECURITIES INC.
March 27, 1981 - August 5, 1981
MALLON SECURITIES CORPORATION
April 2, 1980 - March 13, 1981
THOMSON MCKINNON SECURITIES INC.
September 26, 1978 - March 8, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
THE CAMELOT GROUP, INC.
CRD#: 31091 / SEC#: , 8-45288
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 4 |
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.
