William L. Christensen
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.
William Leroy Christensen, who also goes by Bill Christensen, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2013 - November 17, 2014
B.B. GRAHAM & COMPANY, INC.
October 21, 2013 - November 17, 2014
B.B. GRAHAM & COMPANY, INC.
March 8, 2005 - May 2, 2009
AMERICAN GENERAL FINANCIAL ADVISORS, INC.
July 26, 2004 - March 8, 2012
VALIC FINANCIAL ADVISORS, INC.
July 7, 2004 - March 8, 2012
VALIC FINANCIAL ADVISORS, INC.
August 24, 1998 - November 21, 2002
MORGAN STANLEY DW INC.
March 5, 1997 - November 21, 2002
MORGAN STANLEY DW INC.
November 10, 1994 - February 17, 1995
E-W INVESTMENTS, INC.
May 9, 1989 - November 5, 1992
RICHEY FINANCIAL GROUP, INC.
November 4, 1987 - May 13, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 4, 1986 - March 17, 1987
CHRISTOPHER WEIL & COMPANY, INC
April 23, 1984 - April 25, 1986
MORGAN STANLEY DW INC.
October 31, 1983 - November 22, 1983
UBS FINANCIAL SERVICES INC.
November 4, 1981 - July 16, 1982
CALIFORNIA MUNICIPAL INVESTORS, INC.
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
