ABRAHAM & CO., INC. is an SEC-registered investment adviser (CRD 299085). Regulatory assets under management: $117.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: High net worth, Other.
| Name | Role | Location |
|---|---|---|
| Kye Aubrey Abraham | PRESIDENT & SOLE SHAREHOLDER; PRESIDENT, SOLE SHAREHOLDER, CHIEF COMPLIANCE OFFICER | — |
| Kyle David Appelbaum | CHIEF COMPLIANCE OFFICER - MISSOURI OPERATIONS; CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-19 | regulatory | THE MISSOURI SECURITIES DIVISION ALLEGES THAT FROM FEBRUARY 23, 2023 TO OCTOBER 30, 2023 ("RELEVANT PERIOD"), RESPONDENT ABRAHAM & CO., INC. TRANSACTED BUSINESS AS AN INVESTMENT ADVISER WITH MISSOURI-RESIDENT CLIENTS WITHOUT BEING REGISTERED OR EXEMPT FROM REGISTRATION IN MISSOURI, IN VIOLATION OF S… | Final | $5K |
| 1987-11-27 | regulatory | COMPLAINT NO SEA-440 FILED NOVEMBER 27, 1987 BY DISTRICT NO. 1 AGAINST REPONDENTS ABRAHAM & CO., INC. AND KYE AUBREY ABRAHAM ALLEGING VIOLATIONS OF ARTICLE III SECTION 1 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER, ACTING THROUGH RESPONDENT ABRAHAM EXECUTED SALES OF SHARES TO NINE INVEST… | Final | $1K |
| City | State | Employees | Phone |
|---|---|---|---|
| LYNNWOOD | WA | 1 | 206-222-0251 |
| SPOKANE | WA | 1 | (509) 299-8085 |
| CORONA | CA | 1 | (951) 256-4466 |
| LYNNWOOD | WA | 1 | 206-222-0251 |
| SPOKANE | WA | 1 | (509) 299-8085 |
| CORONA | CA | 1 | (951) 256-4466 |