Douglas Graham, financial advisor Melville NY
73 score

Douglas Graham

CRD Number: 1298919
Current Firm: Ubs Financial Services Inc.

Douglas Graham (CRD# 1298919) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Melville, NY and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Melville, NY Aug 2011 - Current 5
Morgan Stanley Smith Barney Hauppauge, NY Jun 2009 - Aug 2011 2
Citigroup Global Markets Inc. Hauppauge, NY May 2004 - Jun 2009 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1984
S65 NASAA Investment Advisors Law Examination Sep 1994
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Douglas S. Graham
Phone Number: 201-352-3000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
73

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