Jerome C. Duggan
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.
Jerome Castle Duggan was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1967. Jerome had worked at 12 firms and has passed the Series 63, SIE, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2015 - March 31, 2016
B.B. GRAHAM & COMPANY, INC.
November 18, 2002 - November 25, 2015
ALTON SECURITIES GROUP INC.
November 5, 2001 - January 25, 2002
WINDSOR STREET CAPITAL, LP
November 15, 2000 - November 5, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
January 10, 1994 - November 15, 2000
BIRCHTREE FINANCIAL SERVICES LLC
January 24, 1992 - December 31, 1993
WINCHESTER INVESTMENT SECURITIES, INC.
August 15, 1986 - December 31, 1993
ALLIANCE ASSET GROUP,INC.
January 22, 1985 - September 8, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 11, 1981 - January 24, 1985
LM CONSOLIDATED FINANCIAL CORP.
February 21, 1979 - March 9, 1981
NEWHARD, COOK & CO. INCORPORATED
March 21, 1974 - January 26, 1979
REINHOLDT & GARDNER INCORPORATED
April 20, 1967 - April 21, 1974
STERN BROTHERS AND CO
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
Series 1
Date: 4/18/1967
Registered Representative ExaminationSeries 40
Date: 11/5/1976
Registered Principal ExaminationCurrent 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.
