B.B. GRAHAM & COMPANY, INC. of ORANGE, CA is an SEC-registered investment adviser (CRD 41533). Regulatory assets under management: $321.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Bruce Edwin Graham | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | — |
| Douglas Brad Callen | SENIOR VICE PRESIDENT | — |
| Marie Elizabeth Godinez | CHIEF OPERATIONS OFFICER | — |
| John Wayne Jr Bettfreund | CHIEF COMPLIANCE OFFICER | — |
| CALLEN DOUGLAS BRAD | SENIOR VICE PRESIDENT | — |
| BETTFREUND JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | — |
| GRAHAM BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | — |
| GODINEZ MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-03-31 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT SOLD CORPORATE BONDS TO CUSTOMERS AND FAILED TO SELL SUCH BONDS AT A PRICE THAT WAS FAIR, TAKING INTO CONSIDERATION ALL RELEVANT CIRCUMSTANCES, INCLUDING MARKET CONDITIONS WITH RESPECT… | Final | $190K |
| 2007-04-03 | regulatory | ON SEPTEMBER 01, B. B. GRAHAM & CO APPLIED FOR REGISTRATION IN ALABAMA, ON SEPTEMBER 15, PRIOR TO FIRM APPROVAL, REPRESENTATIVE ROBERT LANGSAM EFFECTED 4 TRADES WITH ALABAMA RESIDENTS. | Final | $1K |
| 1999-10-14 | regulatory | HAWAII REVIEWING WHETHER TRADES WERE MADE PRIOR TO COMPLETION OF REGISTRATION PROCESS. | Final | $8K |
| City | State | Employees | Phone |
|---|---|---|---|
| ALTON | IL | 2 | 618 466 9700 |
| SARASOTA | FL | 2 | 5134897256 |
| DUNMORE | PA | 2 | 5705582390 |
| ALTON | IL | 2 | 618 466 9700 |
| — | — | 1 | 9495082000 |
| LAKE FOREST | CA | 1 | 949-472-9550 |
| AUSTIN | TX | 1 | 512-343-3643 |
| LINCOLNSHIRE | IL | 1 | 847-913-1300 |
| LINCOLNSHIRE | IL | 1 | 847-913-1300 |
| — | — | 1 | (240) 882-2019 |
| OKLAHOMA CITY | OK | 1 | 405-879-0166 |
| MONROE | OR | 1 | 541-912-5328 |