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Detailed Report
KENNETH ROBERT GRAHAM
CRD#: 2560875
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Investment Adviser
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Previous Broker
HARMONY POINT WEALTH ADVISORS, INC.CRD#: 323643 Huntington Beach, CA
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (1 year)IAHARMONY POINT WEALTH ADVISORS,... (CRD# 323643)2022 - Present (2 years)BASSETMARK BROKERAGE, LLC (CRD# 169804)2014 - 2018 (3 years)BCAPITAL BROKERAGE CORPORATION (CRD# 10465)2013 - 2014 (<1 year)BCAPITAL BROKERAGE CORPORATION (CRD# 10465)2009 - 2013 (4 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2006 - 2007 (<1 year)BSUNAMERICA CAPITAL SERVICES, INC. (CRD# 13158)1998 - 1999 (1 year)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1996 - 1997 (<1 year)BEDWARD D. JONES & CO., L.P. (CRD# 250)1995 - 1996 (1 year)IAYOUR PRIVATE CLIENT GROUP, INC. (CRD# 292621)2018 - 2023 (4 years)IAASSETMARK, INC. (CRD# 109018)2009 - 2018 (8 years)
License(s)

State Registrations

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California 12/19/2022
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Texas 12/19/2022
Current Registration(s)
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HARMONY POINT WEALTH ADVISORS, INC. (CRD#:323643)
Huntington Beach, CA
Registered with this firm since 12/19/2022
Previous Registration(s)
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 03/13/2018 - 01/17/2023 YOUR PRIVATE CLIENT GROUP, INC. (CRD#:292621) Huntington Beach, CA
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 11/24/2009 - 07/05/2018 ASSETMARK, INC. (CRD#:109018) CONCORD, CA
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 08/15/2014 - 07/05/2018 ASSETMARK BROKERAGE, LLC (CRD#:169804) Encino, CA
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 12/04/2013 - 08/15/2014 CAPITAL BROKERAGE CORPORATION (CRD#:10465) GLEN ALLEN, VA
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 11/23/2009 - 11/18/2013 CAPITAL BROKERAGE CORPORATION (CRD#:10465) GLEN ALLEN, VA
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 10/25/2007 - 07/10/2009 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WESTLAKE VILLAGE, CA
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 10/24/2007 - 07/10/2009 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WESTLAKE VILLAGE, CA
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 09/06/2006 - 05/04/2007 NATIONAL PLANNING CORPORATION (CRD#:29604) THOUSAND OAKS, CA
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 02/19/1998 - 12/15/1999 SUNAMERICA CAPITAL SERVICES, INC. (CRD#:13158) JERSEY CITY, NJ
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 06/26/1996 - 02/28/1997 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
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 01/03/1995 - 03/14/1996 EDWARD D. JONES & CO., L.P. (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.