Individual Firm
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Joseph M McGraw
JOE MCGRAW, JOSEPH MICHAEL MCGRAW
CRD#: 2660766
IA
B
MORGAN STANLEYCRD#: 149777 Willis Tower
233 South Wacker Drive, Suite 8200 Region 5
Chicago, IL 60606
233 South Wacker Drive, Suite 8200 Region 5
Chicago, IL 60606
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11/8/1999
Customer Dispute
Denied
State Registrations
IA
Illinois 10/29/2024
B
Illinois 3/7/2025
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 3/6/2025
IA
Registered with this firm since 10/29/2024
B
Registered with this firm since 3/7/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/25/2022 - 06/26/2023 | Oak Brook, IL | |
IA | 02/26/2018 - 06/26/2023 | Northbrook, IL | |
B | 01/25/2022 - 06/26/2023 | Oak Brook, IL | |
B | 02/26/2018 - 06/26/2023 | Oak Brook, IL | |
IA | 02/27/2018 - 10/14/2022 | Oak Brook, IL | |
IA | 01/25/2017 - 02/26/2018 | SAINT LOUIS, MO | |
B | 11/18/2016 - 02/26/2018 | ST. CHARLES, IL | |
B | 07/11/2016 - 02/16/2017 | CHARLOTTE, NC | |
IA | 01/02/2015 - 10/26/2016 | ST. CHARLES, IL | |
IA | 07/25/2012 - 11/02/2012 | ST. CHARLES, IL | |
B | 12/11/2004 - 09/21/2010 | NEW YORK CITY, NY | |
B | 10/18/2002 - 12/11/2004 | NEWPORT BEACH, CA | |
IA | 01/14/2000 - 11/22/2002 | WILMETTE, IL | |
B | 10/14/1999 - 11/01/2002 | SMITHFIELD, RI | |
B | 07/16/1997 - 09/03/1999 | LONG ISLAND CITY, NY | |
B | 10/03/1995 - 07/11/1997 | DETROIT, MI |
ST. CHARLES, IL
07/25/2012 - 11/02/2012
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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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.