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RIA / WealthAdvisor27 years in industry

GRAHAM STUART GUESS

Advisor at PACIFIC WEALTH STRATEGIES GROUP, INC.

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:b71d9e1f-571f-a0dd-2e4f-994bfabbfbd8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 24, 2001 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: PACIFIC WEALTH STRATEGIES GROUP, INC.
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: Mar 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 25, 2002
First registration: Dec 24, 2001
Dual registered: no
Other names: GRAHAM GUESS
IAPD individual key: 2803700

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
PACIFIC WEALTH STRATEGIES GROUP, INC.	Independent wealth	Jan 21, 2009	n/a	yes	SANTA BARBARA, CA	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 12, 2020	May 3, 2022	no	SANTA BARBARA, CA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Nov 12, 2020	no	CHESTERFIELD, MO\|SANTA BARBARA, CA\|SANTA BARBARA, CA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	May 20, 2010	Jul 2, 2012	no	SANTA BARBARA, CA	Previous registration
GREENBOOK INVESTMENT MANAGEMENT, INC.	n/a	Sep 14, 2004	Oct 7, 2010	no	SANTA BARBARA, CA	Previous registration
XELAN FINANCIAL PLANNING, INC.	n/a	Jan 13, 2003	Dec 31, 2004	no	SANTA BARBARA, CA	Previous registration
XELAN INVESTMENT SERVICES, INC.	n/a	Dec 24, 2001	Jan 15, 2003	no	SANTA BARBARA, CA	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
CETERA INVESTMENT ADVISERS LLC	n/a	May 3, 2022	n/a	n/a	Departure no registered destination	Departure
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
GREENBOOK INVESTMENT MANAGEMENT, INC.	PACIFIC WEALTH STRATEGIES GROUP, INC.	Oct 7, 2010	Jan 21, 2009	-624	Firm change after gap	Other
XELAN FINANCIAL PLANNING, INC.	GREENBOOK INVESTMENT MANAGEMENT, INC.	Dec 31, 2004	Sep 14, 2004	-108	Firm change after gap	Other
XELAN INVESTMENT SERVICES, INC.	XELAN FINANCIAL PLANNING, INC.	Jan 15, 2003	Jan 13, 2003	-2	Firm change	Other

Relationships

Registered with (7)

→ PACIFIC WEALTH STRATEGIES GROUP, INC.Registered adviserregistration: current employment
Jan 21, 2009 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Nov 12, 2020 to May 3, 2022factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
May 20, 2010 to Jul 2, 2012factForm ADV
→ GREENBOOK INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Sep 14, 2004 to Oct 7, 2010factForm ADV
→ XELAN FINANCIAL PLANNING, INC.Registered adviserregistration: previous registration
Jan 13, 2003 to Dec 31, 2004factForm ADV
→ XELAN INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Dec 24, 2001 to Jan 15, 2003factForm ADV

Dated events

Occurred
May 3, 2022
Advisor departed, no destination yet
Graham Stuart Guess no longer registered at Cetera Investment Advisers Llc; no later IA registration on IAPD
Form ADVobserved 5 days ago