RF
Robert B. Fitzpatrick
B.B. GRAHAM & COMPANY
DUNMORE, PA 18512
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CRD#: 721552
RF
Professional summary
Robert Bryan Fitzpatrick is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Dunmore, Pennsylvania.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Associate with Conway Financial 212 East Drinker Street, Dunmore Pennsylvania 18512, Stock Broker and Investment Advisor 40 hours per week
CRS (Client Relationship Summary) - RIA
Click below to view Robert Bryan Fitzpatrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Bryan Fitzpatrick'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
October 31, 2025 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 212 E Drinker Street, Suite C, Dunmore, PA 18512RIA
BD
CRD#: 41533
DUNMORE, PA
Current
October 27, 2025 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 212 E Drinker Street, Suite C, Dunmore, PA 18512RIA
BD
CRD#: 41533
DUNMORE, PA
Past
February 1, 2012 - October 13, 2025
L.M. KOHN & COMPANY
RIA
CRD#: 27913
DUNMORE, PA
Past
January 17, 2012 - October 27, 2025
L.M. KOHN & COMPANY
BD
CRD#: 27913
DUNMORE, PA
Past
November 10, 2003 - January 17, 2012
MIDSOUTH CAPITAL, INC.
BD
CRD#: 35039
DUNMORE, PA
Past
December 7, 1999 - October 30, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SCRANTON, PA
Past
October 1, 1999 - October 30, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 12, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
December 14, 1981 - November 17, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 22, 1980 - January 3, 1982
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
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(11/20/2025)
RR
Colorado(10/28/2025)
RR
Connecticut(10/29/2025)
RR
Delaware(10/27/2025)
IAR
Delaware(11/14/2025)
RR
District of Columbia(11/24/2025)
RR
Florida(11/24/2025)
RR
Georgia(11/26/2025)
RR
Maryland(10/29/2025)
RR
Massachusetts(10/27/2025)
RR
New Jersey(11/19/2025)
IAR
New Jersey(11/19/2025)
RR
New York(10/27/2025)
RR
Pennsylvania(10/28/2025)
IAR
Pennsylvania(10/31/2025)
RR
Virginia(10/27/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 5/21/1982
Interest Rate Options ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533Dunmore, PA 18512TRUST BUT VERIFY
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