Stephen H. Graef
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.
Stephen Henry Graef was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1976. Stephen had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6, Series 3, Series 26, Series 53, Series 4, Series 27, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2008 - February 3, 2010
PACIFIC WEST FINANCIAL CONSULTANTS INC
August 28, 2002 - February 3, 2010
PACIFIC WEST SECURITIES, INC.
June 20, 1997 - August 7, 2001
WMA SECURITIES, INC.
August 9, 1988 - September 1, 1988
ADVANTAGE CAPITAL CORPORATION
September 17, 1984 - December 22, 1986
PUBLIC SECURITIES, INC.
July 12, 1983 - September 12, 1984
SENTRA SECURITIES CORPORATION
December 24, 1981 - July 21, 1983
UBS FINANCIAL SERVICES INC.
August 5, 1980 - January 18, 1982
MORGAN STANLEY DW INC.
September 26, 1978 - July 30, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 1, 1976 - April 7, 1977
NORTHWEST SECURITIES 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 40
Date: 9/25/1976
Registered Principal ExaminationCurrent Firm
PACIFIC WEST FINANCIAL CONSULTANTS INC
CRD#: 108728 / SEC#: 801-55508
Contact information
Red Flags
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