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Aaron Brian Graham

Investment Adviser Representative at AG FINANCIAL

Salt Lake City, UTCRD #3167246Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
27 yrs
States Registered
3 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Aaron Brian Graham has worked in the securities industry since 1999. They have passed the Series 65, 63, 24, 9, and 7 examinations. They are registered to provide investment advisory services in Arizona, Texas, and Utah.

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
ArizonaTexasUtah
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 3/10/1999
Series 63
Uniform Securities Agent State Law Examination
Passed 2/25/1999
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/11/1999
Series 24
General Securities Principal Examination
Passed 1/12/2006
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 4/6/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Up to $500,0001.75%
$500,001 to $1,000,0001.50%
$1,000,001 to $2,500,0001.25%
Over $2,500,0000.00%
Source

AG Financial Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

AG FINANCIALCurrent
4/19/2006Salt Lake City, UT
G2 FINANCIAL GROUP, LLC
2/2/20064/11/2006Salt Lake City, UT
RAYMOND JAMES FINANCIAL SERVICES
6/7/20045/12/2005Scottsdale, AZ
UBS FINANCIAL SERVICES INC.
10/2/20012/3/2004Salt Lake City, UT

Official records & sources

Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at AG FINANCIAL

1 other advisor in the directory

View AG FINANCIAL firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Aaron Brian Graham has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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Aaron Brian Graham - Financial Advisor in Salt Lake City, UT | AdvisorFinder