KV
Kimberly A. Vaughn
B.B. GRAHAM & COMPANY
Oklahoma City, OK 73118
Some features on this profile are disabled
CRD#: 3150408
KV
Professional summary
Kimberly A Vaughn is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Oklahoma City, Oklahoma and LEONARD INVESTMENT ADVISORS INC. located in Oklahoma City, Oklahoma.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kimberly has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
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) B.B. Graham & Co., Investment related, 1900 NW Expressway Suite 1450; Oklahoma City, OK 73118; registered representative. Start 3/2019 - present; 160 hours per month during and off trading hours. 2) LEONARD INVESTMENT ADVISORS, 1900 NW EXPWY STE 1450 OKLA CITY OK- INVESTMENT RELATED - INVESTMENT ADVIOSR REPRESENTATIVE - 40HRS/MO DURING TRADING HRS - 0 HRS/MO NON-TRADING HRS, INVESTMENT ADVISORY SERVICES. 3) KAV INVESTMENTS, LLC - INVESTMENT RELATED, 15208 DAYBRIGHT DR. EDMOND OK 73013, MANAGE PERSONAL ASSETS FOR TAX PURPOSES, 100% OWNER, 1 HR/MO, 0 HOURS DURING TRADING. 4)LEONARD AGENCY INC. INVESTMENT RELATED. 1900 NW EXPRESSWAY STE. 1450 OKC, OK 73118. INSURANCE AGENCY. INSURANCE AGENT. START DATE 02/2021. 4 HRS/MO, O HRS DURING TRADING HOURS. FIXED INSURANCE SALES. 5) Oklahoma Notary Public, Not Investment Related, Address: Oklahoma City, OK, Position: Public Notary, Start Date: 6/1/22, Hrs Per month: 1 hour, Duties: Notary Services.
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly A Vaughn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly A Vaughn'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
March 15, 2019 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1900 Nw Expressway, Suite 1450, Oklahoma City, OK 73118RIA
BD
CRD#: 41533
Oklahoma City, OK
Current
November 20, 2019 - Present
LEONARD INVESTMENT ADVISORS INC.
Office #1: 1900 Nw Expressway Suite 1450, Oklahoma City, OK 73118Office #2: 1900 N W Expressway Suite 1450, Oklahoma City, OK 73118-1812RIA
CRD#: 116712
Oklahoma City, OK
Current
March 15, 2019 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1900 Nw Expressway, Suite 1450, Oklahoma City, OK 73118RIA
BD
CRD#: 41533
Oklahoma City, OK
Past
February 21, 2002 - February 12, 2019
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
OKLAHOMA CITY, OK
Past
September 21, 2001 - February 12, 2019
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
OKLAHOMA CITY, OK
Past
September 12, 2001 - October 3, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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
Louisiana(10/26/2023)
RR
Mississippi(3/15/2019)
IAR
Mississippi(3/26/2019)
RR
Oklahoma(3/15/2019)
IAR
Oklahoma(3/15/2019)
RR
Texas(3/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533Oklahoma City, OK 73118TRUST BUT VERIFY
Monitor Kimberly Vaughn
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
