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Detailed Report
BRETT MCKINLEY GRAHAM
Brett Graham
CRD#: 6309934
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 94 ACOMA BLVD S STE 204
LAKE HAVASU CITY, AZ 86403
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2014 (<1 year)2 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - 2019 (2 years)2 FIRMS2019 - Present (6 years)BMETLIFE SECURITIES INC. (CRD# 14251)2014 - 2015 (<1 year)IAMETLIFE SECURITIES INC. (CRD# 14251)2015 - 2015 (<1 year)
License(s)

State Registrations

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Arizona 6/12/2023
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Nevada 2/20/2019
B
Arkansas 1/12/2024
B
New Jersey 2/8/2019
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California 2/8/2019
B
North Carolina 4/13/2022
B
Colorado 2/8/2019
B
North Dakota 10/11/2023
B
Delaware 3/29/2022
B
Ohio 11/10/2020
B
Florida 10/11/2023
B
Oregon 10/11/2023
B
Indiana 1/12/2024
IA
Oregon 2/15/2024
B
Iowa 1/12/2024
B
Pennsylvania 2/8/2019
B
Kansas 2/8/2019
B
Tennessee 12/3/2024
B
Kentucky 4/12/2024
B
Texas 1/12/2024
B
Maryland 2/8/2019
IA
Texas 3/7/2024
B
Massachusetts 2/8/2019
B
Utah 10/11/2023
B
Michigan 10/11/2023
B
Virginia 2/8/2019
B
Missouri 1/12/2024
B
Washington 10/11/2023
B
Montana 5/30/2019
B
Wisconsin 10/11/2023
B
Nevada 2/8/2019
B
Wyoming 10/11/2023

SRO Registrations

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 FINRA

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
LPL FINANCIAL LLC (CRD#:6413)
94 ACOMA BLVD S STE 204, LAKE HAVASU CITY, AZ 86403
9480 S EASTERN AVE STE 205, LAS VEGAS, NV 89123
Registered with this firm since 2/20/2019
B
LPL FINANCIAL LLC (CRD#:6413)
94 ACOMA BLVD S STE 204, LAKE HAVASU CITY, AZ 86403
9480 S EASTERN AVE STE 205, LAS VEGAS, NV 89123
Registered with this firm since 2/8/2019
Previous Registration(s)
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 09/29/2016 - 03/01/2019 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HENDERSON, NV
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 09/20/2016 - 03/01/2019 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HENDERSON, NV
IA
 04/24/2015 - 09/28/2016 WADDELL & REED (CRD#:866) LAS VEGAS, NV
B
 04/23/2015 - 09/28/2016 WADDELL & REED (CRD#:866) LAS VEGAS, NV
IA
 01/05/2015 - 05/08/2015 METLIFE SECURITIES INC. (CRD#:14251) LAS VEGAS, NV
B
 10/08/2014 - 05/08/2015 METLIFE SECURITIES INC. (CRD#:14251) LAS VEGAS, NV
IA
 08/27/2014 - 10/09/2014 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) LAS VEGAS, NV
B
 06/11/2014 - 10/09/2014 NEW ENGLAND SECURITIES (CRD#:615) LAS VEGAS, NV
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.