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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

DOUGLAS E GRAU

Advisor at INFINITY FINANCIAL SERVICES ADVISORY

Brentwood, TN | OAKLAND, CA

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Search this name across graphsid dfx:ria:0f46db22-5155-0f17-7e01-85ddbfe1266f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INFINITY FINANCIAL SERVICES ADVISORY
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 15, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 15, 2010
First registration: Jan 20, 2010
Dual registered: yes, broker-dealer
Other names: DOUG GRAU|DOUGLAS EDWARD GRAU
IAPD individual key: 5736878

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INFINITY FINANCIAL SERVICES ADVISORY	Independent wealth	Jan 1, 2025	n/a	yes	OAKLAND, CA\|Brentwood, TN	Current employment
INFINITY FINANCIAL SERVICES	n/a	Oct 18, 2016	Oct 24, 2016	no	OAKLAND, CA\|OAKLAND, CA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jun 15, 2012	Jan 20, 2017	no	BRENTWOOD, TN	Previous registration
EDWARD JONES	National bd RIA	Jan 20, 2010	Jun 14, 2012	no	NASHVILLE, TN\|ST LOUIS, MO\|NASHVILLE, TN\|NASHVILLE, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRINCIPAL SECURITIES, INC.	INFINITY FINANCIAL SERVICES	Jan 20, 2017	Oct 18, 2016	-94	Firm change after gap	Other
INFINITY FINANCIAL SERVICES	INFINITY FINANCIAL SERVICES ADVISORY	Oct 24, 2016	Jan 1, 2025	2,991	Firm change after gap	Other
EDWARD JONES	PRINCIPAL SECURITIES, INC.	Jun 14, 2012	Jun 15, 2012	1	Firm change	Other

Relationships

Registered with (4)

→ INFINITY FINANCIAL SERVICES ADVISORYRegistered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jun 15, 2012 to Jan 20, 2017factForm ADV
→ INFINITY FINANCIAL SERVICESRegistered adviserregistration: previous registration
Oct 18, 2016 to Oct 24, 2016factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jan 20, 2010 to Jun 14, 2012factForm ADV

Dated events

No dated event names this entity yet.