Aaron GrahamCRD Number: 3167246
Current Firm: Ag Financial, LLC
Aaron Graham (CRD# 3167246) is an Investment Advisor Representative working at Ag Financial, LLC in Salt Lake City, UT and has over 17 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Ag Financial, LLC||Salt Lake City, UT||Mar 2006 - Current||10|
|United Planners Financial Services||Scottsdale, AZ||Jul 2005 - Current||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1999|
|S65||NASAA Investment Advisors Law Examination||Mar 1999|
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:
- Customer Dispute
Total Assets Under Management103MILLIONS
Total Number of Accounts554ACCOUNTS
Average Account Value$185,560
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
AZ, CA, TX, UT