Sheri A. Strain
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.
Sheri A Strain, who also goes by Sheri Ann Strain, Sheri Strain, was a registered financial professional .
Sheri is a previously registered financial professional and started their career in finance in 1995. Sheri had worked at 9 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2018 - December 31, 2023
B.B. GRAHAM & COMPANY, INC.
May 9, 2018 - December 31, 2023
B.B. GRAHAM & COMPANY, INC.
December 6, 2016 - September 27, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
June 22, 2016 - July 26, 2016
NATIONAL PLANNING CORPORATION
June 22, 2016 - July 26, 2016
NATIONAL PLANNING CORPORATION
May 18, 2015 - June 23, 2016
BOUSTEAD SECURITIES, LLC
November 1, 2012 - October 17, 2014
FINANCIAL WEST GROUP
October 31, 2012 - October 17, 2014
FINANCIAL WEST GROUP
April 6, 2011 - September 11, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
March 9, 2011 - September 11, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
June 28, 2010 - December 3, 2010
FINANCIAL WEST GROUP
April 10, 2003 - July 7, 2008
FINANCIAL WEST GROUP
June 10, 1999 - August 13, 2001
WILLIAM O'NEIL SECURITIES
May 12, 1998 - May 12, 1999
DREYFUS BROKERAGE SERVICES, INC.
July 28, 1995 - February 20, 1998
INTERFIRST CAPITAL CORPORATION
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 8/25/1998
Limited Representative-Equity Trader ExamCurrent 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.
