Doug Graumann has been an investment adviser representative at Chelsea Advisory Services since August 2026, and is not listed among the firm’s executive officers or direct owners.
Chelsea Advisory Services, Inc is a Staten Island, NY firm with $147M under management, 552 clients and 25 advisers across 22 offices, as of its August 2026 filing.
Doug Graumann’s longest registration was 8 years at Dominion Portfolio Management, Inc. (2018–2026). Before joining Chelsea Advisory Services in 2026, Doug Graumann was registered through Dominion Portfolio Management, Inc. and KMS Financial Services, Inc.
- – present · under a yearEllensburg, WA · Adviser representative · Firm CRD 150791
- Dominion Portfolio Management, Inc.– · 8 yearsWenatchee, WA · Adviser representative · Firm CRD 106918
- KMS Financial Services, Inc– · 5 yearsWenatchee, WA · Adviser representative · Firm CRD 3866
- Pacific West Financial Consultants Inc– · 7 yearsWenatchee, WA · Adviser representative · Firm CRD 108728
Investment adviser representative registrations
Doug Graumann is registered as an investment adviser representative in Washington, since August 2026.
- WashingtonSince 27 August 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 30 July 2003 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 4 June 2003 |
| Series 65 | Uniform Investment Adviser Law Examination | 22 May 1997 |
| Series 7 | General Securities Representative Examination | 14 December 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 July 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 July 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Doug Scott Graumann
- CRD
- 2497329
- Firm
- Chelsea Advisory Services · CRD 150791
- Office
- Ellensburg, WA
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1994
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Doug Graumann work?
Doug Graumann is an investment adviser representative registered through Chelsea Advisory Services, Inc since August 2026, and is not listed among the firm’s executive officers or direct owners.
Is Doug Graumann a financial advisor?
Yes. Doug Graumann has a current investment-adviser registration in Washington, through Chelsea Advisory Services since August 2026.
How many years of experience does Doug Graumann have?
Doug Graumann has 32 years in the financial industry, since July 1994, across 4 adviser firms.
What exams has Doug Graumann passed?
Doug Graumann has passed 6 licensing exams: the Series 6, Series 63, Series 7, Series 65, Series 9 and Series 10. The earliest, the Series 6, was passed in July 1994. FINRA credited Doug Graumann with the SIE, which began in October 2018.
Where did Doug Graumann work before Chelsea Advisory Services?
Before Chelsea Advisory Services, Doug Graumann was registered through KMS Financial Services, Inc, January 2012 to December 2017; Pacific West Financial Consultants Inc, February 2004 to January 2012.
Where is Doug Graumann based?
Doug Graumann’s registered office is in Ellensburg, WA.
Is Doug Graumann registered with FINRA?
Yes. Doug Graumann has a current broker registration, under CRD 2497329.
Source: FINRA BrokerCheck
How can I verify Doug Graumann’s record?
Search CRD 2497329 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Doug Graumann’s full registration record.