Mark Grafton
Also appears in the source record as: Mark Dwayne Grafton
Registration & licensing
As recorded in SEC IAPD / FINRA BrokerCheck
- Broker-dealer registration
- Active
- Investment adviser registration
- Active
- Exams passed (7)
- Series 79TOSIESeries 7Series 6Series 24Series 65Series 63
- Registered states (15)
- Alaska · Arkansas · California · Florida · Georgia · Iowa · Kansas · Maine · Maryland · Minnesota · Montana · Nevada · Texas · Virginia · Wisconsin
- Years in the industry (source record)
- 30
- Professional designations
- Not yet retrieved from the source record
Disclosures
Copied from the official record
No disclosure events are flagged in the source record as of Aug 20, 2026.
This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.
Current firm
From the firm record
- Firm
- Wells Fargo Advisors
- Firm CRD
- 19616
- SEC number
- 801-37967
- Assets under management
- $671.4B as of Jun 23, 2026
- Website
- www.twitter.com/WFINVESTING ↗
- Phone
- 314-875-3000
- Firm location
- St. Louis, MO, 63103-2205
Employment history (28)
From the source registration record · current first
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J.P. Morgan Securities LLCDripping Springs, TX · IA capacityOct 1, 2012 → Sep 1, 2022
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J.P. Morgan Securities LLCDripping Springs, TX · BC capacityOct 1, 2012 → Sep 1, 2022
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Chase Investment Services Corp.Austin, TX · IA capacityJul 26, 2012 → Oct 1, 2012
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Chase Investment Services Corp.Austin, TX · BC capacityJul 26, 2012 → Oct 1, 2012
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Advisors Asset Management, Inc.Boerne, TX · IA capacityAug 25, 2008 → Jun 25, 2012
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Advisors Asset Management, Inc.Boerne, TX · BC capacityAug 25, 2008 → Jun 25, 2012
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Banc One Securities CorporationFredericksburg, TX · IA capacityJan 2, 2004 → Jul 6, 2005
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Banc One Securities CorporationChicago, IL · BC capacityJan 2, 2004 → Jul 6, 2005
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New England SecuritiesNew York, NY · BC capacityOct 25, 2002 → Dec 16, 2003
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Merrill Lynch Pierce Fenner & Smith Inc.Midland, TX · IA capacityOct 20, 1999 → Oct 10, 2002
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Merrill Lynch, Pierce, Fenner & Smith IncorporatedNew York, NY · BC capacityOct 20, 1999 → Oct 10, 2002
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Metropolitan Life Insurance CompanyNew York, NY · BC capacityFeb 8, 1996 → Oct 25, 1999
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Metlife Securities Inc.Springfield, MA · BC capacityFeb 8, 1996 → Oct 25, 1999
Source & corrections
Where this page comes from
Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.
Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.