Eric D. Coleman
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.
Eric Dwayne Coleman was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1994. Eric had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2013 - April 9, 2019
B.B. GRAHAM & COMPANY, INC.
November 18, 2013 - April 9, 2019
B.B. GRAHAM & COMPANY, INC.
November 19, 2010 - July 29, 2013
PRUCO SECURITIES, LLC.
October 22, 2010 - July 29, 2013
PRUCO SECURITIES, LLC.
March 2, 2007 - January 7, 2009
TD AMERITRADE, INC.
March 2, 2007 - January 7, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 19, 2006 - January 7, 2009
TD AMERITRADE, INC.
October 20, 1999 - September 7, 2006
B.B. GRAHAM & COMPANY, INC.
July 8, 1999 - September 23, 1999
FORTA FINANCIAL GROUP, INC.
February 20, 1997 - August 22, 1997
SAN CLEMENTE SECURITIES, INC.
June 21, 1996 - January 1, 1997
H.J. MEYERS & CO., INC.
May 1, 1995 - May 21, 1996
TRADEWAY SECURITIES GROUP, INC.
October 12, 1994 - May 5, 1995
H.J. MEYERS & CO., INC.
March 30, 1994 - September 29, 1994
CHATFIELD DEAN & CO., 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.
