Jeffrey A. Ladd
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.
Jeffrey Allen Ladd, who also goes by Allen Ladd, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1978. Jeffrey had worked at 9 firms and has passed the Series 63, SIE and Series 1 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 - January 6, 2021
B.B. GRAHAM & COMPANY, INC.
October 3, 2011 - November 25, 2015
ALTON SECURITIES GROUP INC.
June 21, 2001 - October 7, 2011
WALNUT STREET SECURITIES, INC.
January 3, 2000 - June 20, 2001
IRON STREET SECURITIES INC.
November 15, 1995 - January 3, 2000
AMERICAN HEARTLAND INVESTMENTS INC.
December 16, 1986 - November 28, 1995
FIRST STATE FINANCIAL MANAGEMENT, INC.
March 9, 1978 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
March 9, 1978 - January 12, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 1978 - January 12, 1987
IDS LIFE INSURANCE COMPANY
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: 2/25/1978
Registered Representative 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.
