Patrick G. Wickell
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.
Patrick Gale Wickell, who also goes by P Gale Wickell, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1980. Patrick had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2015 - December 31, 2018
B.B. GRAHAM & COMPANY, INC.
April 2, 2002 - November 25, 2015
ALTON SECURITIES GROUP INC.
October 17, 2001 - January 5, 2002
ALTON SECURITIES GROUP INC.
November 15, 2000 - September 25, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
April 30, 1998 - November 15, 2000
BIRCHTREE FINANCIAL SERVICES LLC
June 19, 1991 - May 26, 1998
FIRST SPRINGFIELD SECURITIES, INC.
November 18, 1988 - June 6, 1991
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
September 21, 1987 - February 1, 1988
R. ROWLAND & CO., INCORPORATED
May 21, 1985 - November 21, 1986
FIRST AFFILIATED SECURITIES, INC.
October 22, 1980 - May 15, 1985
R. ROWLAND & CO., INCORPORATED
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
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.
