Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Lane Graves is a financial professional with over 40 years of experience in the industry. John is currently registered with Syndicated Capital, Inc. and has previously worked at Holt & Collins, Lehman Brothers Inc., Shearson Lehman Government Securities, Inc., Shearson Lehman Hutton Special Securities Incorporated, Paine Webber Mitchell Hutchins Inc., and Shareholders Management Company. John holds a Series 7TO, SIE, Series 5, Series 18, Series 24, Series 8, Series 63, and Series 65 licenses. John is registered in California and New York and specializes in financial planning and portfolio management for individuals.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
12b1; ntf mutal fund service fees
1
2
CA
08/30/1993 - Present
Syndicated Capital, Inc. (DIAMOND BAR CA)
CA
04/08/1992 - 11/05/1992
HOLT & COLLINS (SAN FRANCISCO CA)
NY
02/18/1981 - 09/26/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/17/1989 - 05/02/1990
SHEARSON LEHMAN GOVERNMENT SECURITIES, INC.
NA
07/17/1989 - 05/02/1990
SHEARSON LEHMAN HUTTON SPECIAL SECURITIES INCORPORATED
NA
10/30/1980 - 03/11/1981
PAINE WEBBER MITCHELL HUTCHINS INC.
NA
05/15/1973 - 10/23/1974
SHAREHOLDERS MANAGEMENT COMPANY
IA
Issued 01/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/1996
Series 24 - General Securities Principal Examination
BC
Issued 05/28/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 10/20/1980
Series 18 - Securities Industry Rules and Regulations Examination
Active
Inactive
F
FINRA
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