DL
David J. Lustig
Some features on this profile are disabled
CRD#: 6315078
DL
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.
David Jordan Lustig, who also goes by David J Lustig, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2014. David had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David J Lustig
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) DJL CONSTRUCTION; NOT INVESTMENT RELATED; 6130 RESIDENCIA, NEWPORT BEACH, CA 92260; CONSTRUCTION; GENERAL CONTRACTOR; RELATIONSHIP: OWNER; START DATE: 06/01/2019; NUMBER OF HOURS: 0; SECURITIES TRADING HOURS: 0; DESCRIPTION: GENERAL CONTRACTOR. 2) DR. NOEL LUSTIG MD (PMG); NOT INVESTMENT RELATED; 437 ACACIA AVE, CORONA DEL MAR, CA 92625; NATURE: FORMER MEDICAL PRACTICE; POSITION: PASSIVE OWNER; START: JULY 2019; NUMBER OF HOURS: 0 HRS PER MONTH; 0 HRS DURING SECURITIES TRADING HOURS; DESCRIPTION: MINORITY INTEREST OWNER OF RESIDUAL MEDICAL PRACTICE. (3) 5536 RESEDA PARTNERSHIP; NOT INVESTMENT RELATED; 5536 RESEDA BLVD., LOS ANGELES, CA 91356; NATURE: REAL ESTATE; POSITION: PASSIVE OWNER; START: June 2019;NUMBER OF HOURS: 0 HRS PER MONTH; 0 HRS DURING SECURITIES TRADING HOURS; DESCRIPTION: PASSIVE MINORITY OWNER INTEREST IN REAL ESTATE.
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 11, 2025 - April 1, 2025
B.B. GRAHAM & COMPANY, INC.
RIA
CRD#: 41533
ORANGE, CA
Past
March 11, 2025 - April 1, 2025
B.B. GRAHAM & COMPANY, INC.
BD
CRD#: 41533
ORANGE, CA
Past
February 4, 2020 - February 28, 2025
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
TUSTIN, CA
Past
February 3, 2020 - February 28, 2025
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
TUSTIN, CA
Past
June 1, 2016 - November 26, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
NEWPORT BEACH, CA
Past
June 1, 2016 - November 26, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
NEWPORT BEACH, CA
Past
December 15, 2014 - January 29, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
IRVINE, CA
Past
July 1, 2014 - November 25, 2014
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
IRVINE, CA
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
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.
