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Alan Graff is a financial advisor professional located in Waukee, IA. They specialize in financial advisory.
Alan Graff - Opal Capital Llc holds an active professional license (FINRA CRD) for your protection.
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Alan Graff operates Opal Capital LLC, a financial advisory firm based in Waukee, Iowa. The business holds a FINRA CRD license (number 7078067), which governs securities and investment advisory activities. Graff provides financial advisory services to clients in the region. The firm's licensing status reflects registration with the Financial Industry Regulatory Authority, the self-regulatory organization that oversees broker-dealers and investment advisers in the United States.
Alan Graff's FINRA CRD (Central Registration Depository) license indicates he is registered with the Financial Industry Regulatory Authority and authorized to conduct securities and investment advisory business. This registration requires compliance with FINRA rules and regulations, including suitability standards and disclosure requirements. The CRD number (7078067) is the unique identifier used by FINRA to track the individual's registration history and any disciplinary actions. This licensing framework is designed to protect investors by ensuring advisors meet baseline competency and ethical standards.