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MD

Michael J. Dellaporta

Some features on this profile are disabled
CRD#: 500214
MD

Professional summary

Michael Joseph Dellaporta JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Michael had worked at 17 firms, which includes B.B. GRAHAM & COMPANY INC., FUSION ANALYTICS INVESTMENT PARTNERS LLC, FUSION ANALYTICS SECURITIES LLC, AMERIPRISE FINANCIAL SERVICES LLC, OPPENHEIMER & CO. INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., ABN AMRO INCORPORATED, MERIDIAN SECURITIES INC., MORTGAGE GOVERNMENT SECURITIES INC., M.G.S.I. SECURITIES INC., J.P. MORGAN SECURITIES LLC, AUSTIN INVESTMENT PLANNING INC., BEVILL BRESLER & SCHULMAN INCORPORATED, E.S.M. SECURITIES INC., HAAS SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Dellaporta

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

August 20, 2018 - August 28, 2019

B.B. GRAHAM & COMPANY, INC.

RIA
CRD#: 41533
Fort Lauderdale, FL
Past

August 10, 2018 - August 28, 2019

B.B. GRAHAM & COMPANY, INC.

BD
CRD#: 41533
Fort Lauderdale, FL
Past

November 27, 2017 - August 13, 2018

FUSION ANALYTICS INVESTMENT PARTNERS LLC

RIA
CRD#: 139321
CORAL SPRINGS, FL
Past

August 28, 2015 - August 13, 2018

FUSION ANALYTICS SECURITIES LLC

BD
CRD#: 124245
CORAL SPRINGS, FL
Past

September 15, 2010 - July 17, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Ft Lauderdale, FL
Past

September 10, 2010 - July 17, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Ft Lauderdale, FL
Past

February 22, 2005 - September 17, 2010

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
FORT LAUDERDALE, FL
Past

February 18, 2005 - September 17, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
FORT LAUDERDALE, FL
Past

January 14, 2005 - January 14, 2005

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

July 1, 2003 - February 18, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
FORT LAUDERDALE, FL
Past

July 1, 2003 - February 18, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 2, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
FT LAUDERDALE, FL
Past

January 12, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 8, 1996 - November 30, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 31, 1995 - July 11, 1996

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

February 1, 1991 - January 10, 1995

MERIDIAN SECURITIES, INC.

BD
CRD#: 16468
Past

August 19, 1987 - August 27, 1991

MORTGAGE GOVERNMENT SECURITIES, INC.

BD
CRD#: 19840
Past

January 3, 1986 - March 1, 1989

M.G.S.I. SECURITIES, INC.

BD
CRD#: 16723
Past

July 15, 1985 - December 4, 1985

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

January 31, 1982 - February 22, 1983

AUSTIN INVESTMENT PLANNING, INC.

BD
CRD#: 10009
Past

June 1, 1981 - April 29, 1985

BEVILL, BRESLER & SCHULMAN INCORPORATED

BD
CRD#: 6971
Past

May 16, 1979 - June 12, 1981

E.S.M. SECURITIES, INC.

BD
CRD#: 7105
Past

March 19, 1979 - June 7, 1979

HAAS SECURITIES CORPORATION

BD
CRD#: 2104
Past

October 14, 1976 - April 1, 1979

BEVILL, BRESLER & SCHULMAN INCORPORATED

BD
CRD#: 6971

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/18/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/1/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/21/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/17/1995
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 53
Date: 9/9/1987
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 2/10/1977
Registered Principal Examination

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#: 41533

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