Registered Investment Advisor for Those in Tampa, Clearwater, Brandon, Sarasota, Palm Harbor, & Neighboring Areas

registered investment advisorInvestors are inclined to agree it is best to obtain an appraisal from a licensed jewelry appraiser before making an expensive jewelry purchase. Likewise, they would agree and stress the importance of working with a registered investment advisor at firms providing private wealth management and other investment services when you are ready to begin investing your earnings.

A registered investment advisor must meet the criteria required by the federal Securities and Exchange Commission and/or a Division of Securities Department in the state in which the investment firm operates. A passing grade or better on a financial industry exam is required before an individual can become a registered advisor. Advisors undergo comprehensive education and training before taking industry licensing exams such as the following and more:

  • Series 6 Exam-Investment Company and Variable Contracts Products Representative
  • Series 7 Exam-General Securities Representative Examination
  • Series 63 Exam-Uniform Securities Agent State Law Examination
  • Series 65 Uniform Investment Adviser Law Examination

To make sure you are working with a registered advisor, check federal and state licensing and regulatory agencies’ websites. These sites feature investment firm and investment advisor registration and license searches.

Graham Capital Advisors is an investment firm registered and licensed in Florida and provides exceptional financial services to investors in Tampa, Clearwater, Brandon, Sarasota, Palm Harbor and the neighboring areas. Our portfolio of services includes retirement planning, estate planning, wealth preservation and private wealth management. We have in-house legal experts who work with our registered investment advisor team to protect and ensure clients’ assets by evaluating and setting up financial planning related legal documents. David Graham is one of the only two Master Certified Estate Planners in the state of Florida. He is known as “The Retirement Guy” and host of the top rated live financial radio broadcast in Florida. David Graham is proudly endorsed and trusted by local celebrities including Wade Boggs. He founded Graham Capital Advisors with a mission to build long-lasting client relationships by providing unparalleled personalized investment plans that maximize financial potential and turn his clients’ goals into reality. Contact us today to learn how we can help you plan, grow and secure your financial future.

 

 

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