Brian Graham No Longer Registered with Cetera Advisor Networks
Brian Graham (CRD #: 2581633), a previously registered broker with Cetera Advisor Networks, has been barred by FINRA following allegations regarding certain ATM withdrawals. This disclosure appears on his BrokerCheck record, accessed on September 14, 2025. Details concerning this disclosure appear below.
Regulatory Action
On September 27, 2024, FINRA barred Brian Graham following allegations that he did not appear for on-the-record testimony requested by FINRA. The findings stated that the firm disclosed that a customer alleged he had made unauthorized ATM withdrawals.
There is also an investor dispute alleging that Brian Graham withdrew $250,000 without authorization.
You can read a copy of the bar here.
Employment Separation After Allegations
On April 11, 2024, Brian Graham voluntarily resigned from Cetera Advisor Networks following allegations that he made unauthorized ATM withdrawals.
High Standards of Commercial Honor
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized withdrawals would violate this rule.
Background Information
Brian Graham has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
During his 28 years of experience, Brian Graham has registered with the following forms:
- Cetera Advisor Networks (CRD #: 13572)
- Tower Square Securities (CRD #: 833)
- UBS Financial Services (CRD #: 8174)
- Mesirow Financial (CRD #: 2764)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- Olde Discount Corporation (CRD #: 5979)
Kurta Law Can Help
If you have worked with Brian Graham and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.
Loading...
Reload document 
Open in new tab