Unclaimed Profile

Aaron Brian Graham

AG FINANCIAL, LLC·SALT LAKE CITY, Utah

SIE, Series 7, Series 9, Series 24, Series 63, Series 6524 years registeredAG FINANCIAL, LLC

2825 EAST COTTONWOOD PARKWAY, SALT LAKE CITY, UT 84121CRD# 3167246Firm CRD# 140226

Profile Verification

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

Identity

Aaron Brian Graham · SALT LAKE CITY, UT

Registration

CRD #3167246 · AG FINANCIAL, LLC · 24 years registered

Brand Profile

Not yet started

Career History

AG FINANCIAL

Apr 2006 – present

G2 FINANCIAL GROUP, LLC

Feb 2006 – Apr 2006

SALT LAKE CITY, UT

RAYMOND JAMES FINANCIAL SERVICES

Jun 2004 – May 2005

SCOTTSDALE, AZ

UBS FINANCIAL SERVICES INC.

Oct 2001 – Feb 2004

SALT LAKE CITY, UT

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 24

Series 63

Series 65

Registration record

First registered · October 2, 2001

Years registered · 24

Disclosure History

2026Customer Dispute·Settled

2023Customer Dispute·Settled

2021Customer Dispute·Settled

2019Customer Dispute·Denied

2007Customer Dispute·Settled

5 disclosure events on file · Verify on FINRA BrokerCheck →

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

Firm Overview

Firm

AG FINANCIAL, LLC

CRD 140226 · SEC 801-66579

AUM

$105M

Regulatory assets under management

Employees

188 client accounts

Services offered by AG FINANCIAL, LLC

Per Form ADV

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

View all advisors at AG FINANCIAL, LLC →

Introduction

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Frequently Asked Questions

What services does Aaron Brian Graham offer?

Aaron Brian Graham specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in SALT LAKE CITY, Utah for a consultation.

What are Aaron Brian Graham's credentials?

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

Where is Aaron Brian Graham located?

Aaron Brian Graham is based in SALT LAKE CITY, Utah, working with AG FINANCIAL, LLC. Their office serves clients in the SALT LAKE CITY metropolitan area and surrounding communities.

How does Aaron Brian Graham charge for services?

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

How large is AG FINANCIAL, LLC?

AG FINANCIAL, LLC has approximately 2 employees and manages $105M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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