linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Tricia L Graven

Pershing LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Tricia? Claim Your Profile

About Tricia L Graven

Tricia Graven is a financial professional with over a decade of experience in the industry. Tricia is currently registered with Pershing LLC and Pershing Advisor Solutions LLC. Tricia holds a variety of licenses and registrations, including Series 6, 7, 63, and 66, as well as the SIE.

Firm Information

Tricia Graven is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Tricia Graven’s Registration & Firm History

NJ

06/03/2022 - Present

Pershing LLC (JERSEY CITY NJ)

CO

06/23/2011 - 04/11/2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (Denver CO)

Not sure if Tricia L Graven is right for you?

Licenses & Designations

BOTH

Issued 11/19/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/30/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/17/2013

Series 7 - General Securities Representative Examination

BC

Issued 06/22/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 06/27/1994

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

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 Tricia L Graven.
Not sure if Tricia L Graven is right for you?