Charles Graves is a registered investment advisor, based in Chicago, IL, with 40 years of industry experience.
Location
333 W. Wacker Drive, Chicago, IL, 60606
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Nuveen Securities, LLCBroker
June 2016 - Present · 10 yrs 1 mo
Nuveen Asset Management, LLC
June 2016 - Present · 10 yrs 1 mo
Previous Registrations
Morgan StanleyBroker
June 2009 - July 2016 · 7 yrs 1 mo
Morgan Stanley
June 2009 - July 2016 · 7 yrs 1 mo
Citigroup Global Markets INC.Broker
April 2008 - June 2009 · 1 yr 2 mos
Citigroup Global Markets INC.
April 2008 - June 2009 · 1 yr 2 mos
Clearbridge Advisors, LLC
December 2005 - April 2008 · 2 yrs 4 mos
Legg Mason Investor Services, LLCBroker
December 2005 - April 2008 · 2 yrs 4 mos
Citigroup Global Markets INC.
September 1994 - December 2005 · 11 yrs 3 mos
Citigroup Global Markets INC.Broker
July 1993 - December 2005 · 12 yrs 5 mos
Lehman Brothers INC.Broker
May 1988 - July 1993 · 5 yrs 2 mos
E. F. Hutton & Company INCBroker
December 1985 - May 1988 · 2 yrs 5 mos
State Registrations53 states
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Exams
No exam information available for this advisor.