Bruce Edwin Graham
Professional Summary
Bruce Edwin Graham is a registered financial advisor currently at GRAHAM & CO. ADVISORY, INC. located in Orange, California and B.B. GRAHAM & COMPANY, INC. located in Orange, California. Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Bruce has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27, Series 24 and Series...
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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Contact Information
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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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Years of Experience
31 years in the financial services industry
Current & Past Employments
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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
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
(4/1/2002)
(11/17/2023)
(1/26/2024)
(1/26/2024)
(9/12/2024)
(5/9/1997)
(9/29/2003)
(5/23/1997)
(9/6/2016)
(6/26/1997)
(6/28/2023)
(12/14/2023)
(12/14/2023)
(6/7/2023)
(6/7/2023)
(5/29/1997)
(12/17/2007)
(8/22/1997)
(6/9/2023)
(6/16/2025)
(9/26/2003)
(6/22/2012)
(11/17/2023)
(5/12/1997)
(11/21/2023)
(6/6/1997)
(9/25/1997)
(3/28/2025)
(5/27/1997)
(8/20/1998)
(6/9/2023)
(6/18/2025)
(6/24/1997)
(6/2/2008)
(8/15/1997)
(10/21/1997)
(6/8/2023)
(6/26/1997)
(11/17/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Bruce Edwin Graham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce Edwin Graham's CRS (Customer Relationship Summary).
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