Scott Edward Harper
ChFC®Professional Summary
Scott Edward Harper, ChFC® was a registered financial advisor. Scott was a previously registered financial professional and started their career in finance 1992 - 2023. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
34 years in the financial services industry
Current & Past Employments
Past
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Current Firm
B.B. GRAHAM & COMPANY, INC.
Contact Information
Main Address
1700 W. Katella Ave., Orange, CA 92867Mailing Address
1700 W. Katella Ave., Orange, CA 92867Phone Number
(714) 628-5200Established
California since 06/18/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
32SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
Part 2 Brochures
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
427AUM (Assets Under Management)
$321,650,372Disclosures
Regulatory Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1992About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
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