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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Graves is a registered representative and investment advisor representative with Morgan Stanley. James has been in the financial services industry since 1995 and holds Series 7, 63, and 65 licenses. Prior to joining Morgan Stanley, James was a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Salomon Smith Barney Inc. James is currently registered to provide investment advice in New Jersey, New York, and Texas. James specializes in providing financial planning, pension consulting, asset allocation advice, and portfolio management services to a variety of clients, including individuals, high-net-worth individuals, corporations, and charitable organizations.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
02/25/2019 - Present
Morgan Stanley (New York NY)
NY
05/14/2002 - 02/25/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/28/2000 - 05/15/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/18/1997 - 05/02/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
11/14/1995 - 03/13/1996
FIRST HEARTLAND CAPITAL, INC. (LAKE ST. LOUIS MO)
BC
Issued 09/12/1997
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/27/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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