Steven Graham has been President / Chief Compliance Officer of Allied Portfolio Management since October 1999, is a control person of the firm and directly owns 75% or more of it.
Allied Portfolio Management, Inc. is a Tucson, AZ firm with $240M under management, 124 clients and 1 adviser in one office, as of its April 2026 filing.
Steven Graham’s longest registration is the current one, 26 years at Allied Portfolio Management since 1999.
- Waterloo CapitalAlso current– present · under a yearTucson, AZ · Adviser representative · Firm CRD 133705
- – present · 26 yearsTucson, AZ · Adviser representative · Firm CRD 113809
Investment adviser representative registrations
Steven Graham is registered as an investment adviser representative in Arizona, since October 1999.
- ArizonaSince 26 October 1999
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 20 November 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 October 1985 |
| Series 7 | General Securities Representative Examination | 21 September 1985 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Lewis Graham
- CRD
- 1371834
- Firm
- Allied Portfolio Management · CRD 113809
- Role
- President / Chief Compliance Officer
- Office
- 5987 E. GRANT ROAD, Tucson, AZ 85712
- Registration
- Investment adviser registration
- In the industry since
- October 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Steven Graham work?
Steven Graham has been President / Chief Compliance Officer of Allied Portfolio Management, Inc. since October 1999, and is a control person of the firm.
Is Steven Graham a financial advisor?
Yes. Steven Graham has a current investment-adviser registration in Arizona, through Allied Portfolio Management since October 1999.
How many years of experience does Steven Graham have?
Steven Graham has 26 years in the financial industry, since October 1999, across 2 adviser firms.
What exams has Steven Graham passed?
Steven Graham has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in September 1985.
Where is Steven Graham based?
Steven Graham’s registered office is in Tucson, AZ.
Is Steven Graham registered with FINRA?
No. Steven Graham has no current broker registration.
How can I verify Steven Graham’s record?
Search CRD 1371834 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Graham’s full registration record.