Bernie Lazarre
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.
Bernie Lazarre was a registered financial professional .
Bernie is a previously registered financial professional and started their career in finance in 1983. Bernie had worked at 13 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2011 - February 2, 2012
B.B. GRAHAM & COMPANY, INC.
August 17, 2004 - September 24, 2009
AVANTAX INVESTMENT SERVICES, INC.
April 22, 2002 - December 31, 2002
VERITRUST FINANCIAL, LLC
March 8, 2000 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
March 5, 1998 - April 28, 1998
CITISTREET EQUITIES LLC
September 13, 1993 - March 12, 1998
NATIONAL PLANNING CORPORATION
October 6, 1992 - November 19, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 27, 1991 - September 16, 1992
QUEST CAPITAL STRATEGIES, INC.
May 25, 1989 - February 3, 1990
METLIFE INVESTORS DISTRIBUTION COMPANY
January 10, 1989 - May 31, 1989
INVESTORS BROKERAGE SERVICES, INC.
March 7, 1988 - December 9, 1988
WILSHIRE DISCOUNT SECURITIES
October 1, 1987 - March 7, 1988
KENNEDY, CABOT & CO.
March 2, 1983 - February 18, 1987
INTERFIRST CAPITAL 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
