WB
William D. Byrd
B.B. GRAHAM & COMPANY
Tampa, FL
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CRD#: 1334634
WB
Professional summary
William Dean Byrd, CFP®, who also goes by Bill Byrd, is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Tampa, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. William has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Byrd
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.
1) Life Insurance License, Fixed insurance; Investment related; agent - start date 6/1/1998; 4305 S. Lois Avenue Tampa, FL 33611; sales & service of life & fixed insurance products through various carriers (not FIA); 1 - 3 hours per month, all during trading.
CRS (Client Relationship Summary) - RIA
Click below to view William Dean Byrd's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Dean Byrd'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®
Experience
Current
September 18, 2019 - Present
B.B. GRAHAM & COMPANY, INC.
RIA
BD
CRD#: 41533
Tampa, FL
Current
August 8, 2019 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W. Katella Ave., Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Past
November 18, 2016 - July 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
Tampa, FL
Past
September 2, 2016 - July 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
Tampa, FL
Past
March 3, 2016 - July 21, 2016
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
TAMPA, FL
Past
March 1, 2016 - July 21, 2016
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
TAMPA, FL
Past
January 23, 2001 - March 21, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
TAMPA, FL
Past
January 22, 2001 - March 21, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
TAMPA, FL
Past
August 23, 1993 - February 2, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
October 19, 1992 - July 13, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
March 22, 1990 - September 21, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 20, 1988 - March 27, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 20, 1988 - March 27, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
December 1, 1987 - August 9, 1988
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
Past
February 5, 1985 - January 19, 1988
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
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
Florida(9/18/2019)
IAR
Florida(9/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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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
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.
