LW
Leonard D. Wyss
B.B. GRAHAM & COMPANY
ORANGE, CA 92867
Some features on this profile are disabled
CRD#: 1284822
LW
Professional summary
Leonard Dale Wyss is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Orange, California.
Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Leonard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
A BETTER TAX SERVICE; NOT INVESTMENT RELATED; 1700 W. KATELLA AVE., STE. 302 ORANGE CA 92867; OWNER; OPERATOR; SINCE 2/1987; 60 HRS PER MO; 10 HRS DURING TRADING; INCOME TAX PREPARATION TOUCHDOWN REAL ESTATE; INVESTMENT RELATED; 6200 E CANYON RIM RD. STE. 204 ANAHEIM CA 92807; REAL ESTATE SALES; AGENT; SINCE 6/2020; 10 HRS/MO; 0 DURING TRADING HRS; REAL ESTATE SALES
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Dale Wyss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leonard Dale Wyss's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 31, 2016 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W Katella Ave, Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Current
August 31, 2016 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W Katella Ave, Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Past
November 7, 2008 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
RIA
CRD#: 16944
ORANGE, CA
Past
November 6, 2008 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
ORANGE, CA
Past
July 17, 2007 - October 29, 2008
MORGAN PEABODY, INC.
BD
CRD#: 38306
ORANGE, CA
Past
May 23, 2001 - July 18, 2007
BROOKSTREET SECURITIES CORPORATION
RIA
CRD#: 14667
ORANGE, CA
Past
December 21, 1995 - July 18, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
ORANGE, CA
Past
January 4, 1994 - January 17, 1996
BUTTONWOOD SECURITIES, INC.
BD
CRD#: 18420
NEW YORK, NY
Past
January 15, 1992 - December 15, 1993
CONSOLIDATED INVESTMENT SERVICES, INC.
BD
CRD#: 7929
LITTLETON, CO
Past
January 4, 1991 - December 31, 1991
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
July 27, 1984 - December 31, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
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".
BG
B.B. GRAHAM & COMPANY, INC.
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)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/31/2016)
IAR
California(8/31/2016)
RR
Colorado(4/28/2020)
RR
Florida(9/12/2016)
RR
Missouri(10/28/2021)
RR
Nevada(7/15/2022)
RR
Oregon(8/31/2016)
RR
Texas(9/9/2016)
RR
Washington(8/31/2016)
IAR
Washington(9/8/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BG
B.B. GRAHAM & COMPANY, INC.
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)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
28
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.
