Herman S. Sotelo
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.
Herman Samuel Sotelo, who also goes by Sam Sotelo, was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 2001. Herman had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2014 - November 4, 2014
B.B. GRAHAM & COMPANY, INC.
December 21, 2011 - March 1, 2012
NYLIFE SECURITIES LLC
June 25, 2009 - December 31, 2009
EQUITY SERVICES, INC.
June 25, 2009 - December 31, 2009
EQUITY SERVICES, INC.
October 31, 2006 - August 27, 2007
MSI FINANCIAL SERVICES, INC.
October 11, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 11, 2006 - August 27, 2007
MSI FINANCIAL SERVICES, INC.
October 20, 2004 - December 9, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - December 9, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 15, 2004 - October 20, 2004
QUICK & REILLY, INC.
November 4, 2003 - October 20, 2004
QUICK & REILLY, INC.
April 16, 2001 - November 6, 2003
METROPOLITAN LIFE INSURANCE COMPANY
April 16, 2001 - November 6, 2003
MSI FINANCIAL 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
Current 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.
