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Frederick Jerome Graves

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indian Land, SC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2026-02-17
TX RA APPROVED 2023-04-14
  • SC RA
    APPROVED
    Since 2026-02-17
  • TX RA
    APPROVED
    Since 2023-04-14

Branch Locations

6292 Carolina Commons Dr, Indian Land, SC 29707 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 08/2019 06/2020
Axa Advisors High Point NC 07/2018 05/2019
Target Winston Salem NC 07/2017 09/2019
Pizza Hut Winston Salem NC 02/2017 06/2017
Winston Salem State University Winston Salem NC 07/2016 10/2017
Pizza Hut Winston Salem NC 01/2019 05/2019
Winston Salem State University Winston Salem NC 08/2015 05/2019
Equitable Advisors, Llc New York NY 08/2019 10/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 08/2022 Present
Keller Mortgage Dublin OH 08/2020 05/2022
Unemployed Waxhaw NC 05/2022 08/2022
Bank Of America, N.A. Charlotte NC 11/2022 Present
  • 08/2019 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 07/2018 → 05/2019
    Axa Advisors
    High Point, NC
  • 07/2017 → 09/2019
    Target
    Winston Salem, NC
  • 02/2017 → 06/2017
    Pizza Hut
    Winston Salem, NC
  • 07/2016 → 10/2017
    Winston Salem State University
    Winston Salem, NC
  • 01/2019 → 05/2019
    Pizza Hut
    Winston Salem, NC
  • 08/2015 → 05/2019
    Winston Salem State University
    Winston Salem, NC
  • 08/2019 → 10/2020
    Equitable Advisors, Llc
    New York, NY
  • 08/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Charlotte, NC
  • 08/2020 → 05/2022
    Keller Mortgage
    Dublin, OH
  • 05/2022 → 08/2022
    Unemployed
    Waxhaw, NC
  • 11/2022 → Present
    Bank Of America, N.A.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-23
S63 Uniform Securities Agent State Law Examination 2019-06-10
  • S66 Uniform Combined State Law Examination
    2023-02-23
  • S63 Uniform Securities Agent State Law Examination
    2019-06-10
Other Names
  • Frederick Jerome Graves
  • Frederick Jerome Graves
  • Freddy Graves

View on SEC IAPD

Other Firms

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FIFTH THIRD SECURITIES, INC.
LPL FINANCIAL LLC
EDWARD JONES
J.P. MORGAN SECURITIES LLC
MCGEHEE WEALTH ADVISORY GROUP, INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
ALLSTATE FINANCIAL ADVISORS, LLC

Other Investors

Robert Arthur Needham
BENJAMIN HOMER DENNING
Alexis Thomas
BRETT OCONNOR
DAVID TRACY BOWMAN
MICHAEL PATRICK MEHLTRETTER
Christina Ostran Mehltretter
Gabe Garrett Gregory

Other Offices

TRUIST ADVISORY SERVICES, INC. · INDIAN LAND, SC
FIFTH THIRD SECURITIES, INC. · INDIAN LAND, SC
LPL FINANCIAL LLC · INDIAN LAND, SC
EDWARD JONES · INDIAN LAND, SC
J.P. MORGAN SECURITIES LLC · Indian Land, SC
MCGEHEE WEALTH ADVISORY GROUP, INC. · INDIAN LAND, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · WAXHAW, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Marvin, NC

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