Peter P. Liang
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.
Peter Peiteh Liang, who also goes by Peter Pehteh Liang, Peter Liang, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1988. Peter had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 3 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
Experience
January 5, 2010 - January 16, 2018
B.B. GRAHAM & COMPANY, INC.
September 29, 2009 - January 16, 2018
B.B. GRAHAM & COMPANY, INC.
June 10, 2008 - December 2, 2009
DOLPHIN SECURITIES, INC.
September 27, 2006 - June 13, 2008
QUEST CAPITAL STRATEGIES, INC.
May 23, 2002 - August 19, 2004
QUEST CAPITAL STRATEGIES, INC.
April 11, 1997 - June 13, 2008
QUEST CAPITAL STRATEGIES, INC.
September 29, 1992 - February 28, 1997
MUTUAL SERVICE CORPORATION
July 16, 1991 - September 29, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 16, 1991 - September 29, 1992
PRUCO SECURITIES, LLC.
August 15, 1989 - December 6, 1989
DICKINSON & CO.
November 30, 1988 - June 22, 1989
E-W INVESTMENTS, INC.
August 22, 1988 - September 27, 1988
QUEST CAPITAL STRATEGIES, INC.
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
Current 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.
