EL
Eduardo Larios
B.B. GRAHAM & COMPANY
ORANGE, CA 92867
Some features on this profile are disabled
CRD#: 2553425
EL
Professional summary
Eduardo Larios, who also goes by Ed Larios, Edward Larios, is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Orange, California.
Eduardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Eduardo has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 52TO, Series 6TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ed Larios | Edward Larios
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.
REAL ESTATE RENTALS; INVESTMENT-RELATED: YES; ADDRESS: PO BOX 3097 TUSTIN, CA 92781; NATURE OF BUSINESS: REAL ESTATE RENTAL; POSITION: N/A; RELATIONSHIP: OWNERSHIP INTEREST; START DATE OF YOUR RELATIONSHIP: 01/01/2003; HOURS/MONTH: 1; HOURS DURING SECURITIES TRADING HOURS: 0; DUTIES: MINOR MAINTENANCE AND OCCASIONAL COMMUNICATIONS TO/FROM PROPERTY MANAGEMENT INSURANCE LICENSE; INVESTMENT-RELATED: YES; ADDRESS: PO BOX 3097 TUSTIN, CA 92781; NATURE OF BUSINESS: MAINTAINS A CALIFORNIA LIFE AGENT LICENSE AS PART OF EMPLOYMENT IN THE SECURITIES / INSURANCE; POSITION: N/A; TITLE: REGISTERED LIFE AGENT; START DATE: 06/19/1995; HOURS/MONTH: 1; HOURS DURING SECURITIES TRADING HOURS: 0; DUTIES: N/A REAL ESTATE BROKER ASSOCIATE AND MORTGAGE LOAN ORIGINATOR; BUSINESS NAME: REAL ESTATE EBROKER INC.; INVESTMENT-RELATED: NO; ADDRESS: 2035 CORTE DEL NOGAL SUITE 125, CARLSBAD CA 92011; NATURE OF BUSINESS: MAINTAINS CALIFORNIA REAL ESTATE BROKER-ASSOCIATE AND MORTGAGE LOAN ORIGINATOR. DUTIES: PERFORM REAL ESTATE AND MORTGAGE LOAN ORIGINATION TRANSACTIONS; TITLE: REAL ESTATE BROKER-ASSOCIATE AND MORTGAGE LOAN ORIGINATOR; START DATE OF YOUR RELATIONSHIP:02/26/2019; HOURS/MONTH: 1; HOURS DURING SECURITIES TRADING HOURS: 0; DUTIES: REAL ESTATE OR MORTGAGE LOAN TRANSACTIONS US WEALTHCARE LLC; INVESTMENT-RELATED: N; ADDRESS: PO BOX 3097 TUSTIN, CA 92781; NATURE: ENTITY USED TO PROCESS BUSINESS TRANSACTIONS; POSITION/TITLE: OWNER; START DATE: 5/2025; HOURS/MONTH: 1; HOURS YOU DURING SECURITIES TRADING HOURS; 0/MONTH; DUTIES: ADMINISTRATIVE
CRS (Client Relationship Summary) - RIA
Click below to view Eduardo Larios's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eduardo Larios'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
September 8, 2023 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W Katella Ave, Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Current
September 8, 2023 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W Katella Ave, Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Past
March 31, 2021 - February 13, 2023
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
Westlake Village, CA
Past
November 8, 2012 - December 1, 2020
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
GLENDALE, CA
Past
November 8, 2012 - December 1, 2020
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
GLENDALE, CA
Past
September 14, 2012 - November 14, 2012
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
ALISO VIEJO, CA
Past
July 9, 2010 - February 14, 2011
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SANTA MONICA, CA
Past
July 9, 2010 - February 14, 2011
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SANTA MONICA, CA
Past
November 6, 2009 - May 4, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
SAN CLEMENTE, CA
Past
November 6, 2009 - May 4, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
SAN CLEMENTE, CA
Past
May 2, 2009 - May 27, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
IRVINE, CA
Past
May 2, 2009 - May 27, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
IRVINE, CA
Past
July 25, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
IRVINE, CA
Past
July 21, 1999 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
January 20, 1999 - June 24, 1999
SINTRA FINANCIAL SERVICES, INC.
BD
CRD#: 36303
SAN DIEGO, CA
Past
April 25, 1995 - July 3, 1995
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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
California(9/8/2023)
IAR
California(9/8/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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.
