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Joseph Thomas Graves

Barclays Capital Inc.

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About Joseph Thomas Graves

Joseph Graves is a financial advisor with Barclays Capital Inc., working in the Chicago, IL office. Joseph joined Barclays Capital Inc. on September 22, 2008, and has been in the financial services industry since November 29, 1987. Joseph holds the Series 7, Series 63 and SIE licenses. Previously, Joseph worked at Lehman Brothers Inc., First Union Securities, Inc., Blunt Ellis & Loewi Incorporated and Queen City Securities Corporation. Joseph is registered in 53 states and is licensed to provide financial services in the United States.

Firm Information

Joseph Graves is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Joseph Graves’s Registration & Firm History

IL

09/22/2008 - Present

Barclays Capital Inc. (CHICAGO IL)

IL

04/18/2000 - 09/22/2008

LEHMAN BROTHERS INC. (CHICAGO IL)

MO

09/04/1990 - 05/12/2000

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NA

09/05/1989 - 09/04/1990

BLUNT ELLIS & LOEWI INCORPORATED

OH

11/30/1987 - 09/12/1989

QUEEN CITY SECURITIES CORPORATION (CINCINNATI OH)

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Licenses & Designations

BC

Issued 05/18/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/21/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joseph Thomas Graves.
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