Charles grahamfinrabrokercheckreport

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  • Charlie Graham Twin-c
    http://www.digtriad.com/video/2128357451001/1/Blackberry-10-is-RIMs-hope-for-survival i believe in this company.. the software behind the blackberry is so unique beyond time and space this Canadian based software is going to takeoff...windows sucks.. this software is untouchable from a spyware and virus perspective it can't be touched
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Charles grahamfinrabrokercheckreport

  1. 1. BrokerCheck ReportCHARLES GRAHAMCRD# 5772842Report #90135-81759, data current as of Sunday, February 03, 2013.Section Title Page(s)Report Summary 1Broker Qualifications 2-3Registration and Employment History 4-5
  2. 2. About BrokerCheck®BrokerCheck offers information on all current-and many former-FINRA-registered securities brokers, and all current andformer FINRA-registered securities firms. FINRA strongly encourages investors to use BrokerCheck to check thebackground of securities brokers and brokerage firms before deciding to conduct, or continue to conduct, business withthem. · What is included in a BrokerCheck report? BrokerCheck reports for individual brokers include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheck Using this site/information means reports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of the that you accept the FINRA same disclosure events mentioned above. BrokerCheck Terms and Please note that the information contained in a BrokerCheck report may include pending actions or allegations Conditions. A complete list of that may be contested, unresolved or unproven. In the end, these actions or allegations may be resolved in favor Terms and Conditions can be of the broker or brokerage firm, or concluded through a negotiated settlement with no admission or finding of found at wrongdoing. brokercheck.finra.org · Where did this information come from? The information contained in BrokerCheck comes from FINRA’s Central Registration Depository, or CRD® and is a combination of: o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and For additional information about brokerage firms to submit as part of the registration and licensing process, and the contents of this report, please o information that regulators report regarding disciplinary actions or allegations against firms or brokers. refer to the User Guidance or · How current is this information? www.finra.org/brokercheck. It provides a glossary of terms and a Generally, active brokerage firms and brokers are required to update their professional and disciplinary list of frequently asked questions, information in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokers as well as additional resources. and regulators is available in BrokerCheck the next business day. For more information about · What if I want to check the background of an investment adviser firm or investment adviser FINRA, visit www.finra.org. representative? To check the background of an investment adviser firm or representative, you can search for the firm or individual in BrokerCheck. If your search is successful, click on the link provided to view the available licensing and registration information in the SECs Investment Adviser Public Disclosure (IAPD) website at http://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your state securities regulator at http://www.nasaa.org. · Are there other resources I can use to check the background of investment professionals? FINRA recommends that you learn as much as possible about an investment professional before deciding to work with them. Your state securities regulator can help you research brokers and investment adviser representatives doing business in your state.Thank you for using FINRA BrokerCheck.
  3. 3. www.finra.org/brokercheck User Guidance CHARLES GRAHAM Report Summary for this Broker CRD# 5772842 This report summary provides an overview of the brokers professional background and conduct. Additional This broker is not currently registered with FINRA. information can be found in the detailed report. Broker Qualifications This broker is not currently registered with Disclosure Events FINRA. Disclosure events are certain criminal matters; regulatory actions; civil judicial proceedings; customer complaints, arbitrations, or civil litigations; employment terminations; and financial matters in This broker has passed: which the broker has been involved. 0 Principal/Supervisory Exams 1 General Industry/Product Exam Are there events disclosed about this broker? No 1 State Securities Law Exam Registration History This broker was previously registered with FINRA at the following brokerage firms: SPARTAN CAPITAL SECURITIES, LLC CRD# 146251 NEW YORK, NY 10/2010 - 11/2010 FORDHAM FINANCIAL MANAGEMENT, INC. CRD# 20996 NEW YORK, NY 08/2010 - 09/2010 JOHN THOMAS FINANCIAL CRD# 40982 NEW YORK, NY 04/2010 - 09/2010©2013 FINRA. All rights reserved. Report# 90135-81759 about CHARLES GRAHAM. Data current as of Sunday, February 03, 2013. 1
  4. 4. www.finra.org/brokercheck User GuidanceBroker Qualifications Registrations This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, the category of each registration, and the date on which the registration became effective. This section also provides, for every brokerage firm with which the broker is currently employed, the address of each branch where the broker works. This broker is not currently registered with FINRA.©2013 FINRA. All rights reserved. Report# 90135-81759 about CHARLES GRAHAM. Data current as of Sunday, February 03, 2013. 2
  5. 5. www.finra.org/brokercheck User GuidanceBroker Qualifications Industry Exams this Broker has Passed This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker has received are not included below. This individual has passed 0 principal/supervisory exams, 1 general industry/product exam, and 1 state securities law exam. Principal/Supervisory Exams Exam Category Date No information reported. General Industry/Product Exams Exam Category Date General Securities Representative Examination Series 7 04/06/2010 State Securities Law Exams Exam Category Date Uniform Securities Agent State Law Examination Series 63 04/20/2010 Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found at www.finra.org/brokerqualifications/registeredrep/.©2013 FINRA. All rights reserved. Report# 90135-81759 about CHARLES GRAHAM. Data current as of Sunday, February 03, 2013. 3
  6. 6. www.finra.org/brokercheck User Guidance Registration and Employment History Registration History This broker previously was registered with FINRA at the following firms: Registration Dates Firm Name CRD# Branch Location 10/2010 - 11/2010 SPARTAN CAPITAL SECURITIES, LLC 146251 NEW YORK, NY 08/2010 - 09/2010 FORDHAM FINANCIAL MANAGEMENT, INC. 20996 NEW YORK, NY 04/2010 - 09/2010 JOHN THOMAS FINANCIAL 40982 NEW YORK, NY Employment History Below is the brokers employment history for up to the last 10 years. Please note that the broker is required to provide this information only while registered with FINRA and the information is not updated after the broker ceases to be registered. Therefore, an employment end date of "Present" may not reflect the brokers current employment status. Employment Dates Employer Name Employer Location 10/2010 - Present SPARTAN CAPITAL SECURITIES, LLC. NEW YORK, NY 09/2010 - 10/2010 JOHN CARRIS INVESTMENTS NEW YORK, NY 08/2010 - 09/2010 FORDHAM FINANCIAL MANAGEMENT INC. NEW YORK, NY 03/2010 - 08/2010 JOHN THOMAS FINANCIAL NY, NY 09/2009 - 02/2010 UNEMPLOYED BLOOMFIELD, NJ 05/2009 - 08/2009 CABLEVISION PISCATAWAY, NJ 01/2009 - 05/2009 20/20 COMMUNICATION MAYWOOD, NJ 09/2008 - 01/2009 MOBLIE SOLUTIONS WAYNE, NJ 07/2008 - 09/2008 FRUNGILLO CATERING MOUNTAIN LAKES, NJ 03/2008 - 06/2008 ACME CLIFTON, NJ 09/2006 - 02/2008 RUTGERS UNIVERSITY NEW BRUNSWICK, NJ 01/2006 - 08/2006 ACME CLIFTON, NJ 09/2002 - 05/2006 BLOOMFIELD HIGH SCHOOL BLLOOMFIELD, NJ 09/2005 - 01/2006 HICKER FARMS WAYNE, NJ©2013 FINRA. All rights reserved. Report# 90135-81759 about CHARLES GRAHAM. Data current as of Sunday, February 03, 2013. 4
  7. 7. www.finra.org/brokercheck User Guidance Registration and Employment History Other Business Activities This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and is recognized as tax exempt. No information reported.©2013 FINRA. All rights reserved. Report# 90135-81759 about CHARLES GRAHAM. Data current as of Sunday, February 03, 2013. 5
  8. 8. www.finra.org/brokercheck User Guidance End of Report This page is intentionally left blank.©2013 FINRA. All rights reserved. Report# 90135-81759 about CHARLES GRAHAM. Data current as of Sunday, February 03, 2013. 6

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