Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judith? Claim Your ProfileJudith M. Graham has been in the financial services industry for over 17 years. Judith Graham is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked at JANNEY MONTGOMERY SCOTT LLC, CITIGROUP GLOBAL MARKETS INC. and LEGG MASON WOOD WALKER, INCORPORATED. Judith Graham holds multiple licenses, including Series 7, Series 9, Series 10, and Series 66, and has experience in providing portfolio management for individuals and businesses. Judith M. Graham is also registered in multiple states.
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
PA
04/15/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCRANTON PA)
PA
03/26/2009 - 03/24/2015
JANNEY MONTGOMERY SCOTT LLC (MOOSIC PA)
NY
02/21/2006 - 04/08/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MD
10/11/2005 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 05/25/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/19/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/25/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2005
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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