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LR

Leona D. Robinson

B.B. GRAHAM & COMPANY
Emmaus, PA 18049
Some features on this profile are disabled
CRD#: 401720
LR

Professional summary

Leona Doris Robinson, who also goes by Leona Doris Focht, is a registered financial professional currently at B.B. GRAHAM & COMPANY, INC. located in Emmaus, Pennsylvania.

Leona is registered as a RR (Registered Representative) and started their career in finance in 1967. Leona has worked at 3 firms and has passed the Series 7TO, Series 99TO, Series 52TO, SIE, Series 1, Series 24 and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leona Doris Focht

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) - BD

Click below to view Leona Doris Robinson'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

March 6, 2023 - Present

B.B. GRAHAM & COMPANY, INC.

Office #1: 619 Dalton Street Suite 1, Emmaus, PA 18049
RIA
BD
CRD#: 41533
Emmaus, PA
Past

January 24, 1967 - June 2, 1972

ROBINSON & ROBINSON

BD
CRD#: 1000001
Past

January 24, 1967 - May 30, 2023

ROBINSON & ROBINSON, INC.

BD
CRD#: 3199
ALLENTOWN, PA

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.

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
Florida
(3/6/2023)
RR
New Jersey
(3/29/2023)
RR
Pennsylvania
(3/24/2023)

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 4/22/1960
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer 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#: 41533Emmaus, PA 18049

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