Roger Ainsworth Graham

Employer firm

Braintrust Capital, LLC CRD 319510

$95.0M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting

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

Current Employers

Braintrust Capital, Llc

17806 Ih 10 West Suite 300, San Antonio, TX 78257 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-10-06

TX RA
APPROVED

Since 2022-10-06

Branch Locations

17806 Ih 10 West Suite 300, San Antonio, TX 78257 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	San Antonio	TX	09/2014	06/2019
Wells Fargo Clearing Services Llc	San Antonio	TX	05/2019	03/2022
Braintrust Capital, Llc	San Antonio	TX	04/2022	Present

09/2014 → 06/2019

Ubs Financial Services Inc.

San Antonio, TX
05/2019 → 03/2022

Wells Fargo Clearing Services Llc

San Antonio, TX
04/2022 → Present

Braintrust Capital, Llc

San Antonio, TX

Previous Registrations

2019-06-14 → 2022-03-21

Wells Fargo Clearing Services, Llc

San Antonio, TX
2014-09-19 → 2019-06-26

Ubs Financial Services Inc.

San Antonio, TX
2011-09-05 → 2014-10-15

Morgan Stanley

San Antonio, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-09-02

S66 Uniform Combined State Law Examination

2011-09-02

View on SEC IAPD