Arthur S. 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.
Arthur Stobbart Graham was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1975. Arthur had worked at 5 firms and has passed the Series 63, SIE, Series 15, Series 5, PC, Series 7, Series 24 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
May 20, 2013 - November 21, 2014
SOURCE CAPITAL GROUP, INC.
March 11, 2011 - August 16, 2011
BONDS.COM LLC
November 29, 2007 - February 22, 2011
BEACON CAPITAL MARKETS, LLC
November 17, 1994 - September 6, 2007
R.W.PRESSPRICH & CO.
December 2, 1975 - September 8, 1994
CITIGROUP GLOBAL MARKETS 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: 3/16/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 8
Date: 9/6/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
