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Robert James Graff

Rabo Securities USA, Inc.

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About Robert James Graff

Robert James Graff is a financial professional with over 22 years of experience in the securities industry. He currently works as a registered representative with Rabo Securities USA, Inc., a firm located in Chicago. Robert previously worked with RBS Securities Inc. and ABN AMRO Incorporated, also in Chicago. His areas of expertise include investment banking. Robert holds FINRA Series 7, 24, 63, 79TO, and SIE licenses. He is currently registered with the FINRA and the state securities regulators of 28 states, including California, Colorado, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, Tennessee, Texas, and Wisconsin.

Firm Information

Robert Graff is currently registered with Rabo Securities USA, Inc.. Rabo Securities USA, Inc. is a corporation that was formed on March 22, 1999. They are registered with the SEC and in all 50 states, the District of Columbia, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

120

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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Robert Graff’s Registration & Firm History

IL

02/10/2017 - Present

Rabo Securities USA, Inc. (CHICAGO IL)

IL

10/01/2008 - 01/06/2017

RBS SECURITIES INC. (CHICAGO IL)

IL

09/22/2000 - 10/03/2008

ABN AMRO INCORPORATED (CHICAGO IL)

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Licenses & Designations

BC

Issued 01/23/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/09/2009

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/20/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Robert James Graff.
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