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MICHAEL LAWRENCE GRAVES
MICHAEL L GRAVES
CRD#: 4351078
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 814 NORTH HIGHWAY A1A
SUITE 203
PONTE VEDRA BEACH, FL 32082-3298
SUITE 203
PONTE VEDRA BEACH, FL 32082-3298
View By:
11/25/2009
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 7/9/2021
B
Montana 7/2/2021
B
Arizona 7/2/2021
B
New Hampshire 7/2/2021
B
California 7/2/2021
B
New Mexico 7/2/2021
B
Colorado 7/2/2021
B
New York 7/2/2021
B
Connecticut 7/2/2021
IA
New York 7/21/2021
B
Delaware 7/2/2021
B
North Carolina 7/13/2021
B
District of Columbia 7/6/2021
B
Ohio 7/2/2021
B
Florida 7/2/2021
B
Pennsylvania 7/2/2021
IA
Florida 7/6/2021
B
Rhode Island 8/2/2021
B
Georgia 7/2/2021
B
South Carolina 7/2/2021
B
Indiana 7/2/2021
B
Tennessee 7/2/2021
B
Kansas 7/2/2021
B
Texas 7/2/2021
B
Louisiana 7/2/2021
IA
Texas 7/2/2021
B
Maryland 7/20/2021
B
Virginia 7/2/2021
B
Massachusetts 7/2/2021
B
Washington 7/9/2021
B
Michigan 7/2/2021
B
Wisconsin 8/5/2021
B
Minnesota 9/10/2024
B
Wyoming 7/2/2021
SRO Registrations
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 7/2/2021
B
Registered with this firm since 7/2/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/30/2013 - 07/07/2021 | PONTE VEDRA BEACH, FL | |
B | 07/18/2013 - 07/07/2021 | PONTE VEDRA BEACH, FL | |
IA | 01/02/2009 - 07/26/2013 | PONTE VEDRA BEACH, FL | |
B | 01/02/2009 - 07/26/2013 | PONTE VEDRA BEACH, FL | |
IA | 04/02/2007 - 01/06/2009 | JACKSONVILLE, FL | |
B | 04/02/2007 - 01/06/2009 | JACKSONVILLE, FL | |
IA | 04/20/2001 - 04/02/2007 | JACKSONVILLE, FL | |
B | 04/16/2001 - 04/02/2007 | JACKSONVILLE, FL |
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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.