Unclaimed Profile

James Richard Graham

GREENBERG GRAHAM ADVISORS LLC·IRVINE, California

Series 6, Series 7, Series 63Clean record24 years registeredGREENBERG GRAHAM ADVISORS LLC

2600 MICHELSON DRIVE, SUITE 1700, IRVINE, CA 92612CRD# 2477749Firm CRD# 128726

Profile Verification

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

Identity

James Richard Graham · IRVINE, CA

Registration

CRD #2477749 · GREENBERG GRAHAM ADVISORS LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: GREENBERG GRAHAM ADVISORS LLC

BETTERWEALTH LLC

Oct 2023 – Oct 2025

Elk Ridge, UT

GREENBERG GRAHAM ADVISORS LLC

Feb 2004 – Mar 2024

LEHI, UT

LORING WARD CAPITAL MANAGEMENT INC.

Oct 2001 – Apr 2004

LOS ANGELES, CA

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 63

Registration record

First registered · October 12, 2001

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

GREENBERG GRAHAM ADVISORS LLC

CRD 128726 · SEC 801-62610

AUM

$74M

Regulatory assets under management

Employees

168 client accounts

Services offered by GREENBERG GRAHAM ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at GREENBERG GRAHAM ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does James Richard Graham offer?

James Richard Graham specializes in Financial Planning, Investment Management, Wealth Management.

What are James Richard Graham's credentials?

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

Where is James Richard Graham located?

James Richard Graham is based in IRVINE, California, last registered with GREENBERG GRAHAM ADVISORS LLC.

How does James Richard Graham charge for services?

James Richard Graham's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is GREENBERG GRAHAM ADVISORS LLC?

GREENBERG GRAHAM ADVISORS LLC has approximately 4 employees and manages $74M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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