MM
Matt D. Maberry
B.B. GRAHAM & COMPANY
Alton, IL 62002
Some features on this profile are disabled
CRD#: 1907099
MM
Professional summary
Matt Dale Maberry is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Alton, Illinois.
Matt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Matt has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 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.
Alton Securities & Asset Advisors, LLC; DBA FOR BRANCH OF B.B. GRAHAM & CO.; 50% OWNER, INVESTMENT & FINANCIAL BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Matt Dale Maberry's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matt Dale Maberry'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 30, 2015 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 111 E. Fourth St. Suite 100, Alton, IL 62002RIA
BD
CRD#: 41533
Alton, IL
Current
July 6, 2015 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 111 E. Fourth St. Suite 100, Alton, IL 62002RIA
BD
CRD#: 41533
Alton, IL
Past
December 2, 2003 - December 31, 2015
ALTON CAPITAL MANAGEMENT, INC.
RIA
CRD#: 123674
ALTON, IL
Past
June 6, 1996 - November 25, 2015
ALTON SECURITIES GROUP INC.
BD
CRD#: 39639
ALTON, IL
Past
February 28, 1992 - October 25, 1996
MOSES.COM SECURITIES, INC.
BD
CRD#: 21442
ST. LOUIS, MO
Past
September 30, 1989 - March 10, 1992
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
June 29, 1989 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
BD
CRD#: 619
ST. LOUIS, MO
Past
May 23, 1989 - June 15, 1989
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 23, 1989 - June 15, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(5/22/2020)
IAR
Arizona(5/22/2020)
RR
Arkansas(12/7/2015)
RR
California(11/24/2015)
RR
Florida(3/18/2016)
IAR
Florida(1/5/2021)
RR
Illinois(11/17/2015)
IAR
Illinois(11/30/2015)
RR
Indiana(12/9/2015)
RR
Minnesota(12/3/2015)
IAR
Minnesota(12/14/2015)
RR
Missouri(1/4/2016)
IAR
Missouri(9/8/2016)
RR
New Mexico(12/4/2015)
RR
New York(11/25/2015)
RR
Oklahoma(10/2/2024)
RR
South Carolina(11/24/2015)
RR
Texas(3/28/2016)
RR
Washington(1/20/2016)
IAR
Washington(9/10/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
