SH
Scott E. Harper
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CRD#: 2217536
SH
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.
Scott Edward Harper, ChFC® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CROSS STATE CREDIT UNION ASSOCIATION. NON-INVESTMENT RELATED. 4309 NORTH FRONT ST. HARRISBURG, PA 17110. NATURE OF BUSINESS: PROVIDE LOCAL SUPPORT TO MEMBER CREDIT UNIONS THROUGH ADVOCACY AND RESOURCES. PROVIDE NETWORKING OPPORTUNITIES. 0% OWNER, BOARD MEMBER. STARTED 08/2016. 1HRS/MO AND 1HRS/MO DURING TRADING HRS. DUTIES: ORGANIZE MONTHLY MEETINGS, PLAN CHAPTER ACTIVITIES, ARRANGE SPEAKERS AND PRESENTATIONS.
CLEARVIEW FEDERAL CREDIT UNION, NON-INVESTMENT RELATED. 8805 UNIVERSITY BLVD. MOON TOWNSHIP, PA 15108. NATURE OF BUSINESS: CREDIT UNION. 0% OWNER. POSITION: DIRECTOR OF RELATIONSHIP DEVELOPMENT. STARTED 01/2014. 180HRS/MO AND 160HRS/MO DURING TRADING HRS. DUTIES: MANAGE A TEAM TO ENCOURAGE BUSINESS TO ESTABLISH MEMBERSHIP WITH THE CREDIT UNION.
INDEPENDENT INSURANCE SALES - INVESTMENT RELATED. 1429 LATTIDOME DR, PITTSBURGH, PA 15241. NATURE OF BUSINESS: SALES OF FIXED ANNUITIES, LIFE INSURANCE, DISABILITY INSURANCE, ACCIDENT & HEALTH INSURANCE. 100% OWNER, POSITION: OWNER AND INSURANCE AGENT. STARTED 07/1991. 10HRS/MO AND 1HRS/MO DURING TRADING HRS. DUTIES: DETERMINE CUSTOMER NEEDS FOR AND SALES OF FIXED INSURANCE PRODUCTS.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 15, 2020 - November 15, 2023
B.B. GRAHAM & COMPANY, INC.
RIA
CRD#: 41533
Lawrence, PA
Past
June 12, 2020 - June 24, 2025
B.B. GRAHAM & COMPANY, INC.
BD
CRD#: 41533
ORANGE, CA
Past
December 6, 2019 - June 12, 2020
STONEX ADVISORS INC.
RIA
CRD#: 174182
BIRMINGHAM, AL
Past
December 6, 2019 - June 12, 2020
STONEX SECURITIES INC.
BD
CRD#: 18456
Pittsburgh, PA
Past
June 21, 2018 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
PITTSBURGH, PA
Past
June 21, 2018 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
May 24, 2016 - June 21, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
PITSBURGH, PA
Past
May 24, 2016 - June 21, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
April 21, 2015 - May 2, 2016
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
MOON TOWNSHIP, PA
Past
April 21, 2015 - May 2, 2016
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
MOON TOWNSHIP, PA
Past
January 28, 2014 - October 10, 2014
HAZARD & SIEGEL, INC.
BD
CRD#: 2048
DEWITT, NY
Past
May 10, 2012 - September 23, 2013
NORTHWEST ADVISORS, INC.
RIA
CRD#: 154032
PITTSBURGH, PA
Past
May 10, 2012 - September 19, 2013
OBS BROKERAGE SERVICES, INC.
BD
CRD#: 104281
PITTSBURGH, PA
Past
April 21, 2009 - May 4, 2012
EQUITY SERVICES, INC.
RIA
CRD#: 265
SEVEN FIELDS, PA
Past
April 17, 2009 - May 4, 2012
EQUITY SERVICES, INC.
BD
CRD#: 265
SEVEN FIELDS, PA
Past
April 3, 2009 - April 13, 2009
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
PITTSBURGH, PA
Past
December 18, 2007 - March 5, 2009
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
PITTSBURGH, PA
Past
February 20, 2007 - December 11, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
PITTSBURGH, PA
Past
November 7, 2005 - February 20, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PITTSBURGH, PA
Past
November 7, 2005 - February 20, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PITTSBURGH, PA
Past
July 1, 2002 - November 3, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
May 17, 1998 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
Past
February 28, 1992 - May 12, 1998
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
