Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOHN JACOB GRAF
CRD#: 5324380
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 800 SUPERIOR AVENUE
CLEVELAND, OH 44114
Registration History
2008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - Present (16 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - Present (17 years)
License(s)

State Registrations

B
Alabama 11/11/2024
B
Montana 11/11/2024
B
Alaska 11/15/2024
B
Nevada 11/15/2024
B
Arizona 11/15/2024
B
New Hampshire 11/11/2024
B
Arkansas 11/11/2024
B
New Jersey 3/22/2018
B
California 11/15/2024
B
New Mexico 11/15/2024
B
Colorado 11/15/2024
B
New York 11/15/2024
B
Connecticut 11/15/2024
B
North Carolina 11/15/2024
B
Delaware 11/15/2024
B
North Dakota 11/15/2024
B
District of Columbia 11/11/2024
B
Ohio 12/19/2007
B
Florida 8/24/2012
IA
Ohio 12/8/2008
B
Georgia 11/15/2024
B
Oklahoma 11/11/2024
B
Hawaii 11/11/2024
B
Oregon 11/11/2024
B
Idaho 11/15/2024
IA
Pennsylvania 8/28/2012
B
Illinois 11/15/2024
B
Pennsylvania 11/11/2024
B
Indiana 11/11/2024
B
Rhode Island 11/15/2024
B
Iowa 11/15/2024
B
South Carolina 11/15/2024
B
Kansas 3/22/2018
B
Tennessee 11/15/2024
B
Kentucky 11/15/2024
B
Texas 11/15/2024
B
Louisiana 11/15/2024
B
Utah 11/11/2024
B
Maine 11/11/2024
B
Vermont 11/11/2024
B
Maryland 11/11/2024
B
Virginia 11/15/2024
B
Massachusetts 11/11/2024
B
Washington 11/15/2024
B
Michigan 11/11/2024
B
West Virginia 11/15/2024
B
Minnesota 11/15/2024
B
Wisconsin 11/15/2024
B
Mississippi 11/15/2024
B
Wyoming 11/15/2024
B
Missouri 11/15/2024

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
800 SUPERIOR AVENUE, CLEVELAND, OH 44114
LINCOLN HARBOR 1000 & 1200 LINCOLN HARBOR BLVD, WEEHAWKEN, NJ 07086
Registered with this firm since 12/8/2008
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
800 SUPERIOR AVENUE, CLEVELAND, OH 44114
LINCOLN HARBOR 1000 & 1200 LINCOLN HARBOR BLVD, WEEHAWKEN, NJ 07086
Registered with this firm since 11/5/2007
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.