Brian Graham: Cetera Advisor Faces $50K Investor Complaint

Plainfield, Illinois financial advisor Brian Graham (CRD# 2581633) allegedly made unauthorized withdrawals, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor registered with Cetera, doing business as Graham Capital Management.

Mr. Graham’s BrokerCheck report discloses two investor complaints. The most recent, filed in March 2024, alleges that as a representative of Cetera Advisor Networks, he made unauthorized ATM withdrawals. The pending complaint alleges damages of $50,000.

An earlier investor complaint, filed in 2007, alleged that as a representative of Mesirow Financial, he recommended unsuitable transactions. The complaint evolved into an arbitration proceeding before a FINRA panel, which issued an award to the customer of $72,500.

Graham Capital Management’s website includes a page describing the firm’s background and approach to financial planning and wealth management. “Over the years, we have found that a team approach can be an effective method to help clients who have a wide variety of needs as they maneuver through a complex financial-services world,” it states. “We take a proactive approach to helping you develop a strategy to address your financial goals and objectives, using the most efficient methods available.”

According to the Financial Industry Regulatory Authority, Brian Graham holds 28 years of securities industry experience. Based in Plainfield, Illinois, he has been registered as a broker with Cetera Advisor Networks since 2013 and an investment advisor with Cetera Investment Advisors since 2023. His registration history includes Cetera Advisor Networks (2013-2023), Tower Square Securities (2010-2013), UBS Financial Services (2006-2010), Mesirow Financial (1999-2006), Merrill Lynch (1997-1999), and Olde Discount Corporation (1995-1997). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, California, Colorado, the District of Columbia, Florida, Illinois, Indiana, Maine, Michigan, Minnesota, Mississippi, New Jersey, New York, Ohio, Virginia, and Wisconsin. (Information current as of April 6, 2024.)

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