HM
Heather L. Mcashan
Some features on this profile are disabled
CRD#: 5242318
HM
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.
Heather Lauren Mcashan, who also goes by Heather Mcashan Mata, Heather Mcashan Taute, Heather Lauren Thomas, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2007. Heather had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Heather Mcashan Mata | Heather Mcashan Taute | Heather Lauren Thomas
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.
1) NORWEX; SALES CONSULTANT; NON INVESTMENT RELATED; 800 W BETHEL RD SUITE 100, COPPELL, TX 75019. START DATE 06/10/2019; 5 HOURS A MONTH WILL BE DEDICATED TO THIS OBA BUT WILL TAKE PLACE IN NON TRADING HOURS. 2) HEATHER MCASHAN-INDEPENDENT CONTRACT WORK, NOT INVESTMENT RELATED, 104 S. CREEKBEND DR. AUSTIN TX 78634, NATURE OF BUSINESS/PURPOSE: CONTRACT WORK/SUPPLEMENTAL INCOME, START DATE: 5/2020, 5 HOURS A MONTH DEDICATED TO ACTIVITY DUTIES: BOOKKEEPING ENTRIES IN QUICK BOOKS. ADDITIONAL OUTSIDE BUSINESS ACTIVITIES APPROVED BY PER STIRLING CAPITAL MANAGEMENT, LLC: 3) B.B. GRAHAM & COMPANY; INVESTMENT RELATED; 4800 BEE CAVES RD. AUSTIN, TEXAS 78746, NATURE OF BUSINESS: BROKER/DEALER, POSITION: REGISTERED REPRESENTATIVE, START DATE: 02/2018 ADDITIONAL OUTSIDE BUSINESS ACTIVITIES APPROVED BY B. B. GRAHAM & CO: 4) PER STIRLING CAPITAL MANAGEMENT, LLC; INVESTMENT RELATED; 4800 BEE CAVES RD. AUSTIN, TX 78746; NATURE OF BUSINESS: RIA, POSITION: OPERATIONS SPECIALIST, START DATE: 01/2018; DUTIES: CLERICAL, ADMINISTRATIVE. 5) HUTTO WOMEN'S ALLIANCE; NON-INVESTMENT RELATED; P.O. BOX 1354 HUTTO, TX 78634; NON PROFIT RAISING FUNDS FOR SCHOLARSHIPS FOR SENIORS AT HUTTO HS, POSITION: TREASURER, START DATE: 08/2019; 2 HRS/MO., 0 DURING TRADING HOURS; DUTIES: PAY BILLS, BANKING, RUN FINANCIAL REPORTS.
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®
NoneExperience
Past
March 13, 2018 - February 10, 2023
B.B. GRAHAM & COMPANY, INC.
BD
CRD#: 41533
AUSTIN, TX
Past
February 7, 2018 - February 27, 2023
PER STIRLING CAPITAL MANAGEMENT, LLC
RIA
CRD#: 151671
AUSTIN, TX
Past
May 13, 2013 - January 19, 2018
EMPIRIC INSTITUTIONAL
RIA
CRD#: 164683
AUSTIN, TX
Past
February 4, 2008 - January 19, 2018
EMPIRIC ADVISORS, INC.
RIA
CRD#: 108425
AUSTIN, TX
Past
August 22, 2007 - January 19, 2018
EMPIRIC DISTRIBUTORS, INC.
BD
CRD#: 119143
AUSTIN, TX
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
