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Detailed Report
BRIAN SCOTT GRAHAM
CRD#: 2581633
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200220042006200820102012201420162018202020222024IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - 2024 (<1 year)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2013 - 2023 (9 years)IATOWER SQUARE SECURITIES, INC. (CRD# 833)2010 - 2013 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2010 (4 years)IAMESIROW FINANCIAL, INC. (CRD# 2764)1999 - 2006 (6 years)
Disclosure(s)
View By:
9/27/2024
Regulatory
Final
4/11/2024
Employment Separation After Allegations
3/2/2024
Customer Dispute
Pending
1/1/2006
Customer Dispute
Award / Judgment
Previous Registration(s)
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 06/29/2023 - 04/12/2024 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) PLAINFIELD, IL
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 09/03/2013 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) PLAINFIELD, IL
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 06/23/2010 - 09/03/2013 TOWER SQUARE SECURITIES, INC. (CRD#:833) NAPERVILLE, IL
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 05/23/2006 - 06/18/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) NAPERVILLE, IL
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 09/16/1999 - 05/22/2006 MESIROW FINANCIAL, INC. (CRD#:2764) OAKBROOK TERRACE, IL
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B
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.