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Robert Joseph Graham

Charles Schwab & Co., Inc.

New York City, NY

CRD 4308822

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-22
TX RA APPROVED 2020-01-04
  • NY RA
    APPROVED
    Since 2021-04-22
  • TX RA
    APPROVED
    Since 2020-01-04

Branch Locations

60 E 42Nd St Ground Floor, New York City, NY 10165-0007 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Investments Bridgewater NJ 08/2011 04/2019
Fidelity Personal And Workplace Advisors Boston MA 07/2018 04/2019
Charles Schwab & Co., Inc. New York City NY 04/2019 Present
Charles Schwab Bank New York City NY 04/2019 Present
  • 08/2011 → 04/2019
    Fidelity Investments
    Bridgewater, NJ
  • 07/2018 → 04/2019
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 04/2019 → Present
    Charles Schwab & Co., Inc.
    New York City, NY
  • 04/2019 → Present
    Charles Schwab Bank
    New York City, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-22
  • S66 Uniform Combined State Law Examination
    2008-05-22
Other Names
  • Robert Graham
  • Robert Joesph Graham
  • Robert Joseph Graham

View on SEC IAPD

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Nearby Offices

HIGHTOWER ADVISORS, LLC · New York City, NY
CIBC PRIVATE WEALTH ADVISORS, INC. · New York, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · NEW YORK, NY

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