charlesgrahamfinrabrokercheckreport

BrokerCheck Report

CHARLES GRAHAM

Report #90135-81759, data current as of Sunday, February 03, 2013.

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

CRD# 5772842

1

2 - 3

4 - 5

Page(s)

http://www.finra.org

About BrokerCheck®

BrokerCheck offers information on all current-and many former-FINRA-registered securities brokers, and all current andformer FINRA-registered securities firms. FINRA strongly encourages investors to use BrokerCheck to check thebackground of securities brokers and brokerage firms before deciding to conduct, or continue to conduct, business withthem.

·· What is included in a BrokerCheck report?BrokerCheck reports for individual brokers include information such as employment history, professionalqualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheckreports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of thesame disclosure events mentioned above.Please note that the information contained in a BrokerCheck report may include pending actions or allegationsthat may be contested, unresolved or unproven. In the end, these actions or allegations may be resolved in favorof the broker or brokerage firm, or concluded through a negotiated settlement with no admission or finding ofwrongdoing.

·· Where did this information come from?The information contained in BrokerCheck comes from FINRA’s Central Registration Depository, or CRD® and isa combination of:

o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers andbrokerage firms to submit as part of the registration and licensing process, and

o information that regulators report regarding disciplinary actions or allegations against firms or brokers.

·· How current is this information?Generally, active brokerage firms and brokers are required to update their professional and disciplinaryinformation in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.

·· What if I want to check the background of an investment adviser firm or investment adviserrepresentative?To check the background of an investment adviser firm or representative, you can search for the firm or individualin BrokerCheck. If your search is successful, click on the link provided to view the available licensing andregistration information in the SEC's Investment Adviser Public Disclosure (IAPD) website athttp://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your statesecurities regulator at http://www.nasaa.org.

·· Are there other resources I can use to check the background of investment professionals?FINRA recommends that you learn as much as possible about an investment professional before deciding to workwith them. Your state securities regulator can help you research brokers and investment adviser representativesdoing business in your state.

Thank you for using FINRA BrokerCheck.

For more information aboutFINRA, visit www.finra.org.

Using this site/information meansthat you accept the FINRABrokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound at

For additional information aboutthe contents of this report, pleaserefer to the User Guidance orwww.finra.org/brokercheck. Itprovides a glossary of terms and alist of frequently asked questions,as well as additional resources.

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CHARLES GRAHAM

CRD# 5772842

This broker is not currently registered with FINRA.

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

Disclosure events are certain criminal matters;regulatory actions; civil judicial proceedings; customercomplaints, arbitrations, or civil litigations;employment terminations; and financial matters inwhich the broker has been involved.

Are there events disclosed about this broker? No


This broker is not currently registered withFINRA.

This broker has passed:

0 Principal/Supervisory Exams

1 General Industry/Product Exam

1 State Securities Law Exam

Registration History

This broker was previously registered with FINRA atthe following brokerage firms:

SPARTAN CAPITAL SECURITIES, LLCCRD# 146251NEW YORK, NY10/2010 - 11/2010

FORDHAM FINANCIAL MANAGEMENT, INC.CRD# 20996NEW YORK, NY08/2010 - 09/2010

JOHN THOMAS FINANCIALCRD# 40982NEW YORK, NY04/2010 - 09/2010

www.finra.org/brokercheck User Guidance

1©2013 FINRA. All rights reserved. Report# 90135-81759 about CHARLES GRAHAM. Data current as of Sunday, February 03, 2013.


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Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currentlyregistered and licensed with, the category of each registration, and the date on which the registration became effective.This section also provides, for every brokerage firm with which the broker is currently employed, the address of eachbranch where the broker works.

This broker is not currently registered with FINRA.







Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 1 general industry/product exam, and 1 statesecurities law exam.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a brokermay attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying workexperience. Any exam waivers that the broker has received are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

General Securities Representative Examination 04/06/2010Series 7

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 04/20/2010Series 63

Additional information about the above exams or other exams FINRA administers to brokers and other securitiesprofessionals can be found at www.finra.org/brokerqualifications/registeredrep/.







Registration History

Registration Dates Firm Name CRD# Branch Location

This broker previously was registered with FINRA at the following firms:

10/2010 - 11/2010 SPARTAN CAPITAL SECURITIES, LLC 146251 NEW YORK, NY

08/2010 - 09/2010 FORDHAM FINANCIAL MANAGEMENT, INC. 20996 NEW YORK, NY

04/2010 - 09/2010 JOHN THOMAS FINANCIAL 40982 NEW YORK, NY

Employment History

Employment Dates Employer Name Employer Location

Below is the broker's employment history for up to the last 10 years.

Please note that the broker is required to provide this information only while registered with FINRA and theinformation is not updated after the broker ceases to be registered. Therefore, an employment end date of"Present" may not reflect the broker's current employment status.

10/2010 - Present SPARTAN CAPITAL SECURITIES, LLC. NEW YORK, NY

09/2010 - 10/2010 JOHN CARRIS INVESTMENTS NEW YORK, NY

08/2010 - 09/2010 FORDHAM FINANCIAL MANAGEMENT INC. NEW YORK, NY

03/2010 - 08/2010 JOHN THOMAS FINANCIAL NY, NY

09/2009 - 02/2010 UNEMPLOYED BLOOMFIELD, NJ

05/2009 - 08/2009 CABLEVISION PISCATAWAY, NJ

01/2009 - 05/2009 20/20 COMMUNICATION MAYWOOD, NJ

09/2008 - 01/2009 MOBLIE SOLUTIONS WAYNE, NJ

07/2008 - 09/2008 FRUNGILLO CATERING MOUNTAIN LAKES, NJ

03/2008 - 06/2008 ACME CLIFTON, NJ

09/2006 - 02/2008 RUTGERS UNIVERSITY NEW BRUNSWICK, NJ

01/2006 - 08/2006 ACME CLIFTON, NJ

09/2002 - 05/2006 BLOOMFIELD HIGH SCHOOL BLLOOMFIELD, NJ

09/2005 - 01/2006 HICKER FARMS WAYNE, NJ







Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker iscurrently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This sectiondoes not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and isrecognized as tax exempt.

No information reported.






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