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BG

Bruce E. Graham

GRAHAM & CO. ADVISORY
ORANGE, CA 92867-3415
Some features on this profile are disabled
CRD#: 2563258
BG

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 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
1. Graham & Co. Advisory, 100% Owner, 1700 KATELLA Ave. Orange Ca, less than 20% per week, Investment-related; Fee Based Advisory Business. 2. 1700 KATELLA LLC, 100% OWNER, LESS THAN 10 HOURS PER MONTH, NON SECURITIES RELATED. 3. ECG AVIATION, 100% OWNER, LESS THAN AN HOUR A WEEK. PROVIDES AIRCRAFT MANAGEMENT FOR AIRCRAFT OWNED BY BRUCE GRAHAM. NON SECURITIES RELATED 4. Historic Aircraft Preservation, Chino airport, 100% Owner, Non-securities related, Restoration of WWII aircraft, Less than 5% per week. 5.Graham Air Storage, Chino Airport CA, 100% Owner, Non-securities related, Aircraft Storage, less than 5% per week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Edwin Graham's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Bruce Edwin Graham's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 29, 2003 - Present

GRAHAM & CO. ADVISORY, INC.

Office #1: 1700 West Katella Avenue Second Floor, Orange, CA 92867-3415
RIA
CRD#: 123539
ORANGE, CA
Current

September 25, 2007 - Present

B.B. GRAHAM & COMPANY, INC.

Office #1: 1700 W. Katella Ave., Orange, CA 92867Office #2: 1700 W Katella Ave, Orange, CA 92867
RIA
BD
CRD#: 41533
ORANGE, CA
Current

May 1, 1997 - Present

B.B. GRAHAM & COMPANY, INC.

Office #1: 1700 W. Katella Ave., Orange, CA 92867Office #2: 1700 W Katella Ave, Orange, CA 92867
RIA
BD
CRD#: 41533
ORANGE, CA
Past

April 6, 1995 - May 9, 1997

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA

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
Alaska
(4/1/2002)
IAR
Alaska
(11/17/2023)
RR
Arizona
(1/26/2024)
IAR
Arizona
(1/26/2024)
RR
Arkansas
(9/12/2024)
RR
California
(5/9/1997)
IAR
California
(9/29/2003)
RR
Colorado
(5/23/1997)
RR
Connecticut
(9/6/2016)
RR
Florida
(6/26/1997)
IAR
Florida
(6/28/2023)
RR
Hawaii
(12/14/2023)
IAR
Hawaii
(12/14/2023)
RR
Idaho
(6/7/2023)
IAR
Idaho
(6/7/2023)
RR
Illinois
(5/29/1997)
IAR
Illinois
(12/17/2007)
RR
Indiana
(8/22/1997)
IAR
Indiana
(6/9/2023)
IAR
Kansas
(6/16/2025)
RR
Massachusetts
(9/26/2003)
RR
Michigan
(6/22/2012)
IAR
Montana
(11/17/2023)
RR
Nevada
(5/12/1997)
IAR
Nevada
(11/21/2023)
RR
New Jersey
(6/6/1997)
RR
New York
(9/25/1997)
RR
Ohio
(3/28/2025)
RR
Oregon
(5/27/1997)
RR
Pennsylvania
(8/20/1998)
IAR
Pennsylvania
(6/9/2023)
IAR
South Carolina
(6/18/2025)
RR
Texas
(6/24/1997)
IAR
Texas
(6/2/2008)
RR
Virginia
(8/15/1997)
RR
Washington
(10/21/1997)
IAR
Washington
(6/8/2023)
RR
Wisconsin
(6/26/1997)
IAR
Wyoming
(11/17/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/3/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/28/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/11/2003
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/13/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/5/1996
Registered Options Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

2023 BBGC ADV PART 2A REVISED 7-25-23 (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
GRAHAM, BRUCE EDWINPRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER2563258
BETTFREUND, JOHN WAYNE JRCHIEF COMPLIANCE OFFICER1448436
CALLEN, DOUGLAS BRADSENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER2133945
GODINEZ, MARIE ELIZABETHCHIEF OPERATIONS OFFICER3020086

Regulatory assets under management

Total Number of Accounts303
AUM (Assets Under Management)$ 196,073,458

Disclosures

Regulatory Event3
Arbitration4

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.

Company Information

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533Orange, CA 92867-3415

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