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ROGER AINSWORTH GRAHAM
CRD#: 5942837
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Investment Adviser
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Previous Broker
BRAINTRUST CAPITAL, LLCCRD#: 319510 17806 IH 10 WEST
SUITE 300
SAN ANTONIO, TX 78257
Registration History
201220142016201820202022202420262 FIRMS2011 - 2014 (3 years)2 FIRMS2014 - 2019 (4 years)2 FIRMS2019 - 2022 (2 years)IABRAINTRUST CAPITAL, LLC (CRD# 319510)2022 - Present (2 years)
Disclosure(s)
View By:
2/25/2022
Employment Separation After Allegations
License(s)

State Registrations

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Texas 4/12/2022

Current Registration(s)
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BRAINTRUST CAPITAL, LLC (CRD#:319510)
17806 IH 10 WEST SUITE 300, SAN ANTONIO, TX 78257
Registered with this firm since 4/12/2022

Previous Registration(s)
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06/14/2019 - 03/21/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN ANTONIO, TX
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06/14/2019 - 03/21/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN ANTONIO, TX
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09/19/2014 - 06/26/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN ANTONIO, TX
B
09/19/2014 - 06/26/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN ANTONIO, TX
IA
09/05/2011 - 10/15/2014 MORGAN STANLEY (CRD#:149777) SAN ANTONIO, TX
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08/08/2011 - 10/15/2014 MORGAN STANLEY (CRD#:149777) SAN ANTONIO, TX
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Broker
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Investment Adviser
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.