Eric C. Graber

CAPITAL STRATEGIES FINANCIAL

Bloomington, MN

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CRD#: 836785

Professional summary

Eric Charles Graber is a registered financial advisor currently at CAPITAL STRATEGIES FINANCIAL CORPORATION located in Bloomington, Minnesota.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Eric has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Charles Graber'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

November 12, 2013 - Present

CAPITAL STRATEGIES FINANCIAL CORPORATION

RIA

CRD#: 115693

Bloomington, MN

Past

November 22, 1989 - August 9, 1995

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

October 17, 1988 - October 9, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 23, 1987 - September 26, 1988

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 10, 1987 - September 11, 1987

ENGLER-BUDD & COMPANY INC.

CRD#: 1743

Past

October 6, 1982 - March 27, 1987

DAVID J. PETTERSON & ASSOCIATES, LTD.

CRD#: 10658

Past

October 28, 1981 - October 6, 1982

HANROW SECURITIES CORP.

CRD#: 8320

Past

August 7, 1979 - June 17, 1981

CAPITALQUEST SECURITIES, INC.

CRD#: 7699

Past

April 21, 1977 - August 9, 1979

PIPER SANDLER & CO.

CRD#: 665

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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(11/12/2013)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/24/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/18/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/16/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/1981

General Securities Principal Examination

Current Firm

CAPITAL STRATEGIES FINANCIAL CORPORATION

CRD#: 115693 / SEC#: 801-69804

RIA

Registered Investment Advisory firm - (12/14/2012 Terminated)

Minnesota

Registered Investment Advisory firm - (12/14/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Bloomington, MN

Mailing Address

Phone number

(952) 926-3000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 55,442,508

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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Firm Stability Insights

Eric C. Graber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Charles Graber's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUARDIAN INVESTOR SERVICES LLC

INTEGRATED RESOURCES EQUITY CORPORATION

ROBERT W. BAIRD & CO. INCORPORATED

ENGLER-BUDD & COMPANY INC.

DAVID J. PETTERSON & ASSOCIATES, LTD.

HANROW SECURITIES CORP.

CAPITALQUEST SECURITIES, INC.

PIPER SANDLER & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2012

Series 63

Date: 4/18/1980

Series 7

Date: 4/16/1977

Series 24

Date: 10/28/1981

Current Firm

CAPITAL STRATEGIES FINANCIAL CORPORATION

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL STRATEGIES FINANCIAL CORPORATION

TRUST BUT VERIFY

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