Joseph J. Weinrich

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CRD#: 461987

Professional summary

Joseph John Weinrich SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Joseph had worked at 12 firms, which includes B.B. GRAHAM & COMPANY INC., MOLONEY SECURITIES CO. INC., BIRCHTREE FINANCIAL SERVICES LLC, PIPER SANDLER & CO., STIFEL NICOLAUS & COMPANY INCORPORATED, ROWLAND SIMON & CO., BLUNT ELLIS & LOEWI INCORPORATED, O. R. SECURITIES INC., CORNERSTONE FINANCIAL SERVICES INC., WZW FINANCIAL SERVICES INC., B.C. CHRISTOPHER SECURITIES CO., RAUSCHER PIERCE SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph John Weinrich

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

December 19, 2019 - July 10, 2020

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

ORANGE, CA

Past

August 31, 1999 - May 22, 2018

MOLONEY SECURITIES CO., INC.

CRD#: 38535

OVERLAND PARK, KS

Past

June 17, 1998 - July 15, 1999

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

Past

February 21, 1996 - March 23, 1998

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

November 18, 1988 - February 13, 1996

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

August 2, 1988 - November 18, 1988

ROWLAND, SIMON & CO.

CRD#: 21666

Past

July 15, 1986 - March 29, 1988

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

Past

October 8, 1985 - February 19, 1986

O. R. SECURITIES, INC.

CRD#: 10216

Past

December 22, 1981 - June 30, 1983

CORNERSTONE FINANCIAL SERVICES, INC.

CRD#: 953

Past

September 16, 1974 - October 8, 1985

WZW FINANCIAL SERVICES, INC.

CRD#: 5717

Past

March 12, 1971 - July 10, 1974

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

Past

July 22, 1970 - March 8, 1971

RAUSCHER PIERCE SECURITIES CORPORATION

CRD#: 704

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

IAR

Series 65

Date: 2/27/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 12/1/1988

AMEX Put and Call Exam

Principal/Supervisory Exam

Series 24

Date: 1/6/1994

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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Joseph J. Weinrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MOLONEY SECURITIES CO., INC.

BIRCHTREE FINANCIAL SERVICES LLC

PIPER SANDLER & CO.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

ROWLAND, SIMON & CO.

BLUNT ELLIS & LOEWI INCORPORATED

O. R. SECURITIES, INC.

CORNERSTONE FINANCIAL SERVICES, INC.

WZW FINANCIAL SERVICES, INC.

B.C. CHRISTOPHER SECURITIES CO.

RAUSCHER PIERCE SECURITIES CORPORATION

Primary Firm SEC Registration

B.B. GRAHAM & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2002

Series 63

Date: 7/15/1998

SIE

Date: 5/22/2018

PC

Date: 12/1/1988

Series 24

Date: 1/6/1994

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.

TRUST BUT VERIFY

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