Unclaimed Profile

Robert Shaw Graham

RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC·SCOTTSDALE, Arizona

SIE, Series 7, Series 24, Series 63, Series 6624 years registeredRG CAPITAL INVESTMENT ADVISORY SERVICES, LLC

4800 NORTH SCOTTSDALE ROAD, SCOTTSDALE, AZ 85251CRD# 3126485Firm CRD# 135696

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Robert Shaw Graham · SCOTTSDALE, AZ

Registration

CRD #3126485 · RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

Jun 2014 – Feb 2015

PHOENIX, AZ

RG ADVISOR GROUP

Nov 2005 – Oct 2015

Phoenix, AZ

MERRILL LYNCH PIERCE FENNER & SMITH INC.

May 2002 – May 2004

SCOTTSDALE, AZ

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 66

Registration record

First registered · May 30, 2002

Years registered · 24

Disclosure History

2018Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CRD 135696 · SEC 801-69543

AUM

$40M

Regulatory assets under management

Employees

70 client accounts

Services offered by RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does Robert Shaw Graham offer?

Robert Shaw Graham specializes in Financial Planning, Investment Management.

What are Robert Shaw Graham's credentials?

Robert Shaw Graham is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Robert Shaw Graham located?

Robert Shaw Graham is based in SCOTTSDALE, Arizona, last registered with RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC.

How does Robert Shaw Graham charge for services?

Robert Shaw Graham's firm is compensated through percentage of aum, hourly charges, other: third-party advisory fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC?

RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC has approximately 4 employees and manages $40M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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