Gisela I. Lake
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.
Gisela Irmgard Lake, CFP®, who also goes by Gisela I Hainold, was a registered financial professional .
Gisela is a previously registered financial professional and started their career in finance in 1983. Gisela had worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
December 14, 2021 - June 5, 2023
B.B. GRAHAM & COMPANY, INC.
December 1, 2021 - June 5, 2023
B.B. GRAHAM & COMPANY, INC.
March 13, 2002 - May 27, 2022
TESSARA FINANCIAL ADVISORS, INC.
October 30, 1997 - April 2, 2024
KW SECURITIES CORPORATION
August 1, 1996 - October 23, 1997
TRANSAMERICA CAPITAL, LLC
October 19, 1994 - May 10, 1996
GS2 SECURITIES, INC.
May 30, 1990 - January 11, 1993
ASSOCIATED SECURITIES CORP.
June 20, 1989 - April 19, 1990
ENEX SECURITIES CORPORATION
April 17, 1989 - May 9, 1989
AIMS CAPITAL CORPORATION
March 24, 1988 - July 18, 1989
U.S. ADVISORS, INC.
April 19, 1983 - December 22, 1987
FINANCIAL PLANNERS EQUITY 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
