Victor Papushak
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.
Victor Papushak was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1978. Victor had worked at 18 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2019 - October 27, 2021
B.B. GRAHAM & COMPANY, INC.
March 5, 2014 - July 9, 2019
CAPITAL FINANCIAL SERVICES, INC.
July 1, 2013 - January 6, 2014
PLANMEMBER SECURITIES CORPORATION
October 22, 2010 - December 31, 2012
PLANMEMBER SECURITIES CORPORATION
September 8, 2009 - May 26, 2010
VALIC FINANCIAL ADVISORS, INC.
February 27, 2007 - September 14, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
January 28, 2005 - August 14, 2006
USALLIANZ SECURITIES, INC.
December 6, 2000 - January 12, 2005
ALLSTATE FINANCIAL SERVICES, LLC
January 7, 2000 - March 5, 2001
DONAHUE SECURITIES, INC.
September 3, 1999 - January 13, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 5, 1998 - August 20, 1999
CONSECO SECURITIES, INC.
April 14, 1997 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
September 13, 1996 - April 14, 1997
CONSECO EQUITY SALES, INC.
May 18, 1995 - October 2, 1995
CONSECO EQUITY SALES, INC.
July 31, 1992 - August 30, 1994
METROPOLITAN LIFE INSURANCE COMPANY
July 31, 1992 - August 30, 1994
MSI FINANCIAL SERVICES, INC.
May 18, 1990 - January 17, 1992
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
August 30, 1989 - July 9, 1992
VOYA FINANCIAL ADVISORS, INC.
May 16, 1986 - September 21, 1989
UR FINANCIAL, INC.
May 18, 1978 - May 19, 1986
METLIFE INVESTORS DISTRIBUTION 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 1
Date: 5/13/1978
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.
