Phillip Q. Shrotman
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.
Phillip Quint Shrotman was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1965. Phillip had worked at 15 firms and has passed the Series 7TO, SIE, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2015 - February 19, 2020
B.B. GRAHAM & COMPANY, INC.
May 6, 2015 - February 15, 2023
B.B. GRAHAM & COMPANY, INC.
November 24, 2008 - November 13, 2014
GIRARD SECURITIES, INC.
August 25, 2008 - May 6, 2015
GIRARD SECURITIES, INC.
September 9, 2003 - August 5, 2008
PENSION PLANNERS SECURITIES, INC.
August 5, 2003 - August 5, 2008
PENSION PLANNERS SECURITIES, INC.
March 7, 2003 - August 5, 2003
CHANNEL POINT PARTNERS
March 13, 2002 - March 6, 2003
OSAIC WEALTH, INC.
December 24, 1998 - March 13, 2002
PIM FINANCIAL SERVICES, INC.
April 16, 1997 - January 5, 1999
SENTRA SECURITIES CORPORATION
August 1, 1995 - April 16, 1997
LAGUNA SECURITIES, INC.
September 28, 1993 - August 1, 1995
WEALTH RESOURCE CAPITAL CORPORATION
April 1, 1986 - October 19, 1993
CREST CAPITAL, INC.
November 14, 1977 - April 15, 1986
SUNSET FINANCIAL SERVICES, INC.
June 15, 1973 - January 25, 1983
INDEPENDENT SECURITIES CORPORATION
November 22, 1972 - December 17, 1977
PENNSYLVANIA SECURITIES COMPANY
November 24, 1971 - June 29, 1973
BENEFICIAL EQUITIES, INC.
January 2, 1969 - November 25, 1971
PENNSYLVANIA SECURITIES COMPANY
June 8, 1965 - June 15, 1973
EQUITY SERVICES, 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: 6/7/1965
Registered Representative ExaminationSeries 00
Date: 2/19/1968
General Securities Principal 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
