SE
Scott E. Everhart
B.B. GRAHAM & COMPANY
Leander, TX
Some features on this profile are disabled
CRD#: 1495747
SE
Professional summary
Scott Edward Everhart is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Leander, Texas.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Scott has worked at 7 firms and has passed the Series 63, SIE, Series 31 and Series 7 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.
1. CALAHART CROSSROADS; NOT INVESTMENT RELATED; 4045 ST. CLOUD DRIVE LOVELAND, CO 80538; REAL ESTATE OWNERSHIP; OWNER; START: 02/28/2006; HOURS PER MONTH: 1; BUSINESS DURING SECURITIES HOURS: 0; REVIEW MONTHLY STATEMENT 2. CROSSROADS PLAZA CONDO ASSOCIATION;NOT INVESTMENT RELATED; 4045 ST. CLOUD DRIVE PO BOX 270548 FT COLLINS, CO 80538; CALAHART HOMEOWNERS ASSOCIATION; BOARD MEMBER; OWNER PARTICIPANT; 11/2009; HOURS PER YEAR: 1; HOURS DURING SECURITIES MARKET HOURS: 0; PARTICIPATE IN ANNUAL MEETING 3. 831 TRIANGLE FAMILY TRUST; NOT INVESTMENT RELATED; TRUST; INDEPENDENT TRUSTEE; NO CURRENT ACTIVE DUTIES; DESIGNATED TRUSTEE; START DATE: 2022; HOURS PER MONTH: 0; BUSINESS DURING SECURITIES HOURS: 0; NO ACTIVE DUTIES 4. YELLOWSTONE 6580 REVOCABLE LIVING TRUST; TRUST; INDEPENDENT TRUSTEE; NO CURRENT ACTIVE DUTIES; DESIGNATED TRUSTEE; START DATE: 2022; HOURS PER MONTH: 0; BUSINESS DURING SECURITIES HOURS: 0; NO ACTIVE DUTIES
CRS (Client Relationship Summary) - RIA
Click below to view Scott Edward Everhart's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Edward Everhart'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
November 5, 2024 - Present
B.B. GRAHAM & COMPANY, INC.
RIA
BD
CRD#: 41533
Leander, TX
Current
November 5, 2024 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W. Katella Ave., Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Past
February 28, 2018 - November 4, 2024
MOLONEY SECURITIES ASSET MANAGEMENT LLC
RIA
CRD#: 282448
Fort Collins, CO
Past
February 28, 2018 - November 4, 2024
MOLONEY SECURITIES CO., INC.
BD
CRD#: 38535
Fort Collins, CO
Past
August 28, 2008 - March 16, 2018
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
FORT COLLINS, CO
Past
August 28, 2008 - March 16, 2018
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
FORT COLLINS, CO
Past
January 1, 2008 - September 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOULDER, CO
Past
January 1, 2008 - September 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOULDER, CO
Past
July 18, 1994 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
BOULDER, CO
Past
April 4, 1988 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
BOULDER, CO
Past
July 23, 1986 - April 5, 1988
JM DISSOLUTION, INC.
BD
CRD#: 6980
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(11/5/2024)
RR
Colorado(11/5/2024)
RR
Connecticut(11/5/2024)
RR
Florida(11/5/2024)
RR
Georgia(11/7/2024)
RR
Illinois(11/7/2024)
RR
Michigan(11/5/2024)
RR
New Jersey(11/5/2024)
RR
New York(11/5/2024)
RR
North Carolina(11/5/2024)
RR
Oklahoma(11/5/2024)
RR
South Carolina(11/5/2024)
RR
Tennessee(11/5/2024)
RR
Texas(11/5/2024)
IAR
Texas(11/5/2024)
RR
Virginia(11/5/2024)
Exams
State Security Law 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.
