David A. Rice

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CRD#: 716832

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 Alan Rice, who also goes by Dave Rice, David A Rice, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1980. David had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Rice | David A Rice

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

November 23, 2015 - December 31, 2024

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

OWATONNA, MN

Past

January 3, 2013 - November 25, 2015

ALTON SECURITIES GROUP INC.

CRD#: 39639

OWATONNA, MN

Past

July 29, 2003 - November 8, 2012

W R RICE FINANCIAL SERVICES, INC.

CRD#: 36700

OWATONNA, MN

Past

June 1, 1990 - May 11, 1994

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

November 7, 1989 - June 8, 1990

ARM SECURITIES CORPORATION

CRD#: 932

MINOT, ND

Past

October 5, 1989 - November 15, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 7, 1980 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

October 7, 1980 - October 20, 1989

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 7, 1980 - October 20, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Series 63

Date: 10/15/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/27/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1980

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/10/2003

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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Firm Stability Insights

David A. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALTON SECURITIES GROUP INC.

W R RICE FINANCIAL SERVICES, INC.

GUARDIAN INVESTOR SERVICES LLC

ARM SECURITIES CORPORATION

INTEGRATED RESOURCES EQUITY CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

B.B. GRAHAM & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/15/1980

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 22

Date: 2/27/1982

Series 6

Date: 10/3/1980

Series 24

Date: 11/10/2003

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.

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