Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Graf has been a registered representative for over 20 years, specializing in helping clients develop personalized financial strategies. With experience at firms like Merrill Lynch, Wells Fargo, and now Raymond James & Associates, Inc., Thomas has a broad understanding of financial markets and investment products. He is a Certified Financial Planner and holds several licenses including Series 7, 31, 63, and 65. Thomas provides a range of services including financial planning, portfolio management, and educational seminars. He is committed to helping clients reach their financial goals.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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
NJ
09/11/2024 - Present
Raymond James & Associates, Inc. (PARAMUS NJ)
NJ
01/20/2012 - 11/12/2018
WELLS FARGO CLEARING SERVICES, LLC (HAWTHORNE NJ)
NY
03/08/2006 - 01/23/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CT
06/07/2002 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
NY
03/19/2002 - 06/07/2002
LEBENTHAL & CO., INC. (NEW YORK NY)
NY
07/30/2001 - 12/10/2001
AXA ADVISORS, LLC (NEW YORK NY)
NY
01/14/1999 - 07/18/2001
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
07/20/1998 - 11/13/1998
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
IA
Issued 03/02/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 07/17/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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