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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ashley? Claim Your ProfileAshley D Graham is an investment advisor representative, licensed with Merrill Lynch, Pierce, Fenner & Smith Inc. Ashley is registered with the Securities and Exchange Commission as an investment advisor representative and has been in the industry since 2006. Ashley is registered in several states and has a total of 53 approved state registrations, as well as 7 approved SRO registrations. Ashley holds the following FINRA licenses: Series 3, Series 7, Series 9, Series 10, Series 31, Series 66, and SIE. Ashley has passed several exams during their career, including the Series 66 in 2006, the Series 3 in 2015, and the SIE in 2018. Ashley has worked with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2005.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
08/29/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LISLE IL)
BOTH
Issued 06/07/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/26/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/13/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/2015
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 05/01/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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