SS
Sheri A. Strain
B.B. GRAHAM & COMPANY
ORANGE, CA 92867
Some features on this profile are disabled
CRD#: 2614962
SS
Professional summary
Sheri A Strain, who also goes by Sheri Ann Strain, Sheri Strain, is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Orange, California.
Sheri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Sheri has 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
Are you a "fiduciary"?
Yes
Aliases
Sheri Ann Strain | Sheri Strain
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Sheri A Strain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sheri A Strain'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
December 18, 2025 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W. Katella Ave., Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Current
December 18, 2025 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W. Katella Ave., Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Past
May 10, 2018 - December 31, 2023
B.B. GRAHAM & COMPANY, INC.
RIA
CRD#: 41533
ORANGE, CA
Past
May 9, 2018 - December 31, 2023
B.B. GRAHAM & COMPANY, INC.
BD
CRD#: 41533
ORANGE, CA
Past
December 6, 2016 - September 27, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
AGOURA HILLS, CA
Past
June 22, 2016 - July 26, 2016
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
El Segundo, CA
Past
June 22, 2016 - July 26, 2016
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
El Segundo, CA
Past
May 18, 2015 - June 23, 2016
BOUSTEAD SECURITIES, LLC
BD
CRD#: 141391
IRVINE, CA
Past
November 1, 2012 - October 17, 2014
FINANCIAL WEST GROUP
RIA
CRD#: 16668
WESTLAKE VILLAGE, CA
Past
October 31, 2012 - October 17, 2014
FINANCIAL WEST GROUP
BD
CRD#: 16668
WESTLAKE VILLAGE, CA
Past
April 6, 2011 - September 11, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
NICEVILLE, FL
Past
March 9, 2011 - September 11, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
NICEVILLE, FL
Past
June 28, 2010 - December 3, 2010
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
April 10, 2003 - July 7, 2008
FINANCIAL WEST GROUP
BD
CRD#: 16668
WESTLAKE VILLAGE, CA
Past
June 10, 1999 - August 13, 2001
WILLIAM O'NEIL SECURITIES
BD
CRD#: 894
BOSTON, MA
Past
May 12, 1998 - May 12, 1999
DREYFUS BROKERAGE SERVICES, INC.
BD
CRD#: 7289
LOS ANGELES, CA
Past
July 28, 1995 - February 20, 1998
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
Arizona(1/27/2026)
IAR
California(12/18/2025)
RR
California(12/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/25/1998
Limited Representative-Equity Trader ExamGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
