RN
Robert E. North
B.B. GRAHAM & COMPANY
Portland, OR
Some features on this profile are disabled
CRD#: 5354527
RN
Professional summary
Robert E North, who also goes by Robert Emmitt North, is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Portland, Oregon.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Emmitt North
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) OREGON WATER POLO OFFICIALS ASSOCIATION; POSITION: PRESIDENT; NATURE: NON-PROFIT; NONINVT REL; PORTLAND OR; OPERATIONAL OVERSIGHT, DEVELOPMENT AND CERTIFICATION OF OFFICIALS; START 05/01/2011; 4 HRS/MTH, NONE DURING TRADING; PROVIDE ADMINISTRATIVE OVERSIGHT. COORDINATE TRAINING AND DEVELOPMENT PROGRAMS FOR MEMBER OFFICIALS.
2) ROBERT NORTH - INSURANCE; POSITION: INSURANCE AGENT; NATURE: INSURANCE AGENT; INVESTMENT RELATED: YES; 2 HRS/MO; SECURITIES TRADING HOURS: 0; START DATE: 06/01/2014; PORTLAND, OR; DESCRIPTION: SELL INSURANCE PRODUCTS.
3) ROBERT NORTH; POSITION: CONSULTANT; NATURE: CONSULTANT; INVESTMENT RELATED: NO; 1 HR/MTH; SECURITIES TRADING HOURS: 0; START DATE: 01/01/2010; PORTLAND, OR; DESCRIPTION: PROVIDE ADVICE FOR PRIVATE COMPANIES REGARDING IMPORTING AND EXPORTING GOODS.
4) DELL'UCCELLO LLC; POSITION: MANAGER; NATURE: LLC; INVESTMENT RELATED: NO; 32 HRS/MO; SECURITIES TRADING HOURS: 0; START DATE: 03/01/2005; PORTLAND, OR; DESCRIPTION: MANAGE AND MAINTAIN AGRICULTURAL PROPERTY.
5) ROBERT NORTH; POSITION: WATER POLO OFFICIAL; NATURE: WATER POLO OFFICIAL; INVESTMENT RELATED: NO; 32 HRS/MTH; SECURITIES TRADING HOURS: 0; START DATE: 08/01/1988; PORTLAND, OR; DESCRIPTION: ASSIGN, EVALUATE AND OFFICIATE WATER POLO GAMES.
CRS (Client Relationship Summary) - RIA
Click below to view Robert E North's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert E North's CRS (Customer Relationship Summary).
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
Current
April 8, 2016 - Present
B.B. GRAHAM & COMPANY, INC.
RIA
BD
CRD#: 41533
Portland, OR
Current
April 8, 2016 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W. Katella Ave., Orange, CA 92867Office #2: 1700 W. Katella Ave., Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Past
July 18, 2011 - February 5, 2016
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
PORTLAND, OR
Past
July 18, 2011 - February 5, 2016
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
PORTLAND, OR
Past
March 20, 2009 - July 15, 2011
SII INVESTMENTS, INC.
RIA
CRD#: 2225
PORTLAND, OR
Past
March 20, 2009 - July 15, 2011
SII INVESTMENTS, INC.
BD
CRD#: 2225
PORTLAND, OR
Past
September 10, 2007 - November 14, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PORTLAND, OR
Past
August 8, 2007 - November 14, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PORTLAND, OR
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/8/2016)
IAR
California(1/18/2019)
RR
New York(5/2/2025)
IAR
New York(5/2/2025)
RR
Oregon(4/8/2016)
IAR
Oregon(4/8/2016)
RR
Texas(7/1/2020)
RR
Washington(4/8/2016)
IAR
Washington(4/12/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)
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.
