Steven Graham, financial advisor Westlake Village CA

Steven Graham

CRD Number: 1977736
Current Firm: Western International Securities

Steven Graham (CRD# 1977736) is an Investment Advisor Representative working at Western International Securities in Westlake Village, CA and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Western International Securities, Inc. Pasadena, CA Sep 2020 - Current 3
C.i.t.e. Institute Santa Clarita, CA Jan 2016 - Current 8
J.p. Morgan Securities LLC Valencia, CA Oct 2012 - Sep 2020 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1989
S65 NASAA Investment Advisors Law Examination Jun 2009
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Steven R. Graham
Phone Number: (888) 793-7717
Firm Website: http://www.wisdirect.com
Registered State(s):
  • AZ
  • CA
  • NH
  • TX
  • UT
By the Numbers
  • Total Assets Under Management
    3,480
    MILLIONS
  • Total Number of Accounts
    12,253
    ACCOUNTS
  • Average Account Value
    $283,980
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

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

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