Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Charles Graham has been working in the financial industry since 1977. John is currently registered with Midwestern Securities Trading Company, LLC as an Investment Advisor Representative. John has been with Midwestern Securities Trading Company, LLC since July 1999. Before joining Midwestern Securities Trading Company, LLC, John worked at Birchtree Financial Services, Inc., Smith Barney Inc., Lehman Brothers Inc., E. F. Hutton & Company Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Metropolitan Life Insurance Company. John has passed the Series 63, Series 65, Series 7, Series 24, Series 52TO, Series 53, Series 99TO and SIE exams. John works with individuals, corporations, and high-net-worth individuals. John also provides financial planning services, pension consulting services and educational seminars.
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.
Personalized portfolio management to meet individual financial objectives.
Portfolio management for 401(k) retirement plans defined in section 3(38) of erisa rules
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.
A percentage of assets under 3rd party management
1
2
IL
09/27/1999 - Present
Midwestern Securities Trading Company, LLC (EAST PEORIA IL)
MN
05/14/1996 - 04/27/2000
BIRCHTREE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
NY
07/31/1993 - 05/21/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/04/1988 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
09/22/1983 - 01/12/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
09/25/1972 - 05/05/1979
METROPOLITAN LIFE INSURANCE COMPANY
IA
Issued 07/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/26/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/24/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1983
Series 7 - General Securities Representative Examination
BC
Issued 09/20/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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