David B. Morris

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CRD#: 340402

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.

David Bruce Morris was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1970. David had worked at 19 firms and has passed the Series 63, PC, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 23, 2004 - December 31, 2005

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

ORANGE, CA

Past

November 19, 2001 - January 30, 2004

MILLENNIUM BROKERAGE, L.L.C.

CRD#: 47728

CHATHAM, NJ

Past

January 20, 1998 - November 7, 2001

ARJENT LTD.

CRD#: 35909

NEW YORK, NY

Past

April 22, 1996 - December 31, 1997

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

October 17, 1995 - May 2, 1996

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

August 20, 1987 - November 2, 1995

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

June 14, 1985 - August 25, 1987

STARR SECURITIES, INC.

CRD#: 13336

Past

November 25, 1983 - June 6, 1985

JII SECURITIES INC.

CRD#: 406

Past

March 10, 1982 - December 9, 1983

FINANCIAL SQUARE PARTNERS

CRD#: 1541

Past

December 10, 1981 - March 15, 1982

ROONEY, PACE INC.

CRD#: 6218

Past

February 28, 1979 - September 14, 1981

JOHN MUIR & CO.

CRD#: 2837

Past

July 5, 1978 - July 22, 1980

LOEB PARTNERS

CRD#: 7534

Past

May 5, 1977 - March 16, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

June 24, 1976 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Past

June 26, 1975 - May 29, 1976

MABON, NUGENT & CO.

CRD#: 2617

Past

November 8, 1974 - July 5, 1975

SHEARSON HAYDEN STONE INC.

CRD#: 6774

Past

October 4, 1974 - November 8, 1974

HAYDEN STONE INC.

CRD#: 6567

Past

April 24, 1973 - August 5, 1974

SHEARSON, HAMMILL & CO., INCORPORATED

CRD#: 766

Past

April 23, 1970 - February 22, 1971

DUPONT WALSTON, INCORPORATED

CRD#: 870

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".

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 12/9/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 2/16/1979

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 4/28/1960

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 4/20/1970

General Securities Principal Examination

Current Firm

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)

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

SEC notice filing (45 States and Territories)

FINRA licenses (51 States and Territories)

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

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.

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Firm Stability Insights

David B. Morris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MILLENNIUM BROKERAGE, L.L.C.

ARJENT LTD.

NATIONAL SECURITIES CORPORATION

INVESTORS ASSOCIATES, INC.

LADENBURG THALMANN & CO. INC.

STARR SECURITIES, INC.

JII SECURITIES INC.

FINANCIAL SQUARE PARTNERS

ROONEY, PACE INC.

JOHN MUIR & CO.

LOEB PARTNERS

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

MABON, NUGENT & CO.

SHEARSON HAYDEN STONE INC.

HAYDEN STONE INC.

SHEARSON, HAMMILL & CO., INCORPORATED

DUPONT WALSTON, INCORPORATED

Primary Firm SEC Registration

B.B. GRAHAM & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/1981

PC

Date: 2/16/1979

Series 1

Date: 4/28/1960

Series 00

Date: 4/20/1970

Current Firm

B.B. GRAHAM & COMPANY, INC.

Contact information

SEC notice filing (45 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

B.B. GRAHAM & COMPANY, INC.

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