John E. Sprague
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Edward Sprague was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2010 - July 18, 2016
B.B. GRAHAM & COMPANY, INC.
April 9, 2010 - July 18, 2016
B.B. GRAHAM & COMPANY, INC.
June 26, 2008 - February 25, 2010
EVOLVE INVESTMENT ADVISORS
June 26, 2008 - April 9, 2010
EVOLVE SECURITIES, INC.
April 30, 2008 - April 9, 2010
EVOLVE SECURITIES, INC.
September 21, 2007 - April 30, 2008
AFS BROKERAGE, INC.
April 5, 2005 - September 24, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
January 10, 2005 - September 24, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
October 20, 2004 - January 11, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - January 11, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 8, 2004 - October 20, 2004
QUICK & REILLY, INC.
January 8, 2004 - October 20, 2004
QUICK & REILLY, INC.
September 5, 2002 - January 13, 2004
ALLSTATE FINANCIAL SERVICES, LLC
April 10, 2000 - December 21, 2001
INTERFIRST CAPITAL CORPORATION
January 13, 2000 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
May 8, 1996 - December 31, 1999
SHAREMASTER
January 20, 1995 - April 29, 1996
INVESTMENT CENTERS OF AMERICA, INC.
October 15, 1993 - October 15, 1993
A. G. EDWARDS & SONS, INC.
July 22, 1991 - January 11, 1995
SHAREMASTER
September 9, 1988 - August 22, 1989
INVESTACORP, INC.
April 7, 1988 - August 18, 1988
CAPITAL BROKERAGE CORPORATION
July 15, 1987 - October 19, 1987
IVY DISTRIBUTORS, INC.
December 26, 1985 - June 11, 1987
LEHMAN BROTHERS INC.
July 17, 1984 - December 18, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
August 26, 1982 - January 11, 1985
E. F. HUTTON & COMPANY INC
December 11, 1981 - July 20, 1982
ARM SECURITIES CORPORATION
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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