Kenneth F. Crimmins

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CRD#: 1103116

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.

Kenneth Francis Crimmins was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 2, 2008 - November 2, 2015

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

SEALY, TX

Past

August 30, 2006 - December 11, 2008

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149

RIDGEWOOD, NJ

Past

August 26, 2005 - October 2, 2007

ONE FINANCIAL SECURITIES, LTD.

RIA

CRD#: 104282

HOUSTON, TX

Past

August 26, 2005 - March 10, 2009

ONE FINANCIAL SECURITIES, LTD.

CRD#: 104282

NEW ORLEANS, LA

Past

September 21, 2000 - August 18, 2005

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

Past

September 13, 1996 - September 25, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 26, 1996 - August 18, 2005

STANFORD GROUP COMPANY

RIA

CRD#: 39285

HOUSTON, TX

Past

February 15, 1994 - September 21, 1996

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 24, 1983 - January 27, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533 / SEC#: 801-106968, 8-49477

RIA

Registered Investment Advisory firm - SEC (12/3/2015 Approved)

Arizona

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

California

Registered Investment Advisory firm - SEC (1/16/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Iowa

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Missouri

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (12/18/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/10/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/21/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/14/1994

General Securities Representative Examination

Current Firm

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533 / SEC#: 801-106968, 8-49477

RIA

Registered Investment Advisory firm - SEC (12/3/2015 Approved)

Arizona

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

California

Registered Investment Advisory firm - SEC (1/16/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Iowa

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Missouri

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/17/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (12/18/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

1700 W. Katella Ave., Orange, CA 92867

Mailing Address

1700 W. Katella Ave., Orange, CA 92867

Phone number

(714) 628-5200

Established

California since 06/18/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (45 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2023 BBGC ADV PART 2A REVISED 7-25-23 (3/27/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Kenneth F. Crimmins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FOUR POINTS CAPITAL PARTNERS LLC

ONE FINANCIAL SECURITIES, LTD.

ONE FINANCIAL SECURITIES, LTD.

STANFORD GROUP COMPANY

WELLS FARGO CLEARING SERVICES, LLC

STANFORD GROUP COMPANY

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

B.B. GRAHAM & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/1999

Series 63

Date: 3/23/1994

SIE

Date: 11/2/2015

Series 3

Date: 1/21/1997

Series 7

Date: 2/14/1994

Current Firm

B.B. GRAHAM & COMPANY, INC.

Contact information

SEC notice filing (45 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

B.B. GRAHAM & COMPANY, INC.

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