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Detailed Report
WILLIAM G GRAHAM
CRD#: 5510939
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 160 FEDERAL STREET
BOSTON, MA 02110
Registration History
2008201020122014201620182020202220242026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2024 - Present (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - Present (1 year)IAJ.P. MORGAN PRIVATE WEALTH ADV... (CRD# 108559)2010 - Present (14 years)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2010 - 2023 (13 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2010 (2 years)
License(s)

State Registrations

B
Alabama 1/18/2024
B
Missouri 1/18/2024
B
Alaska 1/18/2024
B
Montana 1/18/2024
B
Arizona 1/18/2024
B
Nebraska 1/18/2024
B
Arkansas 1/18/2024
B
Nevada 1/18/2024
IA
California 8/11/2010
B
New Hampshire 9/29/2023
B
California 9/29/2023
B
New Jersey 9/29/2023
B
Colorado 9/29/2023
B
New Mexico 1/18/2024
IA
Connecticut 8/11/2010
B
New York 9/29/2023
B
Connecticut 9/29/2023
B
North Carolina 9/29/2023
B
Delaware 9/29/2023
B
North Dakota 1/18/2024
B
District of Columbia 9/29/2023
B
Ohio 9/29/2023
IA
Florida 5/23/2014
B
Oklahoma 1/18/2024
B
Florida 9/29/2023
B
Oregon 9/29/2023
B
Georgia 9/29/2023
B
Pennsylvania 9/29/2023
B
Hawaii 9/29/2023
B
Puerto Rico 1/18/2024
B
Idaho 1/18/2024
B
Rhode Island 9/29/2023
B
Illinois 9/29/2023
B
South Carolina 9/29/2023
B
Indiana 1/18/2024
B
South Dakota 1/18/2024
B
Iowa 1/18/2024
B
Tennessee 1/18/2024
B
Kansas 1/18/2024
B
Texas 9/29/2023
B
Kentucky 1/18/2024
IA
Texas 1/24/2024
B
Louisiana 9/29/2023
B
Utah 1/18/2024
B
Maine 9/29/2023
B
Vermont 9/29/2023
IA
Maine 7/24/2024
B
Virgin Islands 1/18/2024
B
Maryland 9/29/2023
B
Virginia 9/29/2023
IA
Massachusetts 8/16/2010
B
Washington 9/29/2023
B
Massachusetts 9/29/2023
B
West Virginia 1/18/2024
B
Michigan 9/29/2023
B
Wisconsin 9/29/2023
B
Minnesota 9/29/2023
B
Wyoming 9/29/2023
B
Mississippi 1/18/2024

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, 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
J.P. MORGAN SECURITIES LLC (CRD#:79)
160 FEDERAL STREET, BOSTON, MA 02110
Acton, MA
Registered with this firm since 1/24/2024
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
160 FEDERAL STREET, BOSTON, MA 02110
Acton, MA
Registered with this firm since 9/29/2023
IA
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC (CRD#:108559)
160 FEDERAL ST., BOSTON, MA 02110
Registered with this firm since 8/11/2010
Previous Registration(s)
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B
 08/10/2010 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) BOSTON, MA
B
 06/19/2008 - 08/13/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOSTON, MA
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.