Richard D. Carson
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.
Richard David Carson was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 1 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
March 7, 2016 - August 19, 2022
B.B. GRAHAM & COMPANY, INC.
March 23, 1999 - March 7, 2016
FINANCE 500, INC.
May 17, 1995 - December 31, 1998
FINANCE 500, INC.
February 21, 1995 - May 18, 1995
ROBERT SCOTT SECURITIES, INC.
November 28, 1979 - October 12, 1994
GREAT AMERICAN SECURITIES INC.
February 24, 1978 - November 15, 1979
MORGAN STANLEY DW INC.
November 28, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
February 13, 1974 - December 26, 1975
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 2, 1973 - March 25, 1974
DUPONT WALSTON, INCORPORATED
July 11, 1972 - July 2, 1973
DUPONT GLORE FORGAN INC
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/3/1972
Registered Representative ExaminationCurrent 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.
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