JM
John W. Marshall
B.B. GRAHAM & COMPANY
Newport Beach, CA
Some features on this profile are disabled
CRD#: 860188
JM
Professional summary
John Walter Marshall III, who also goes by John Walter Marshall, Jay Marshall, is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Newport Beach, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 15, Series 5, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Walter Marshall | Jay Marshall
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.
(1) Name: Life Insurance License, Investment Related, Nature of Business: Variable and Fixed Insurance Products, Position: Life Agent, Start Date: 1979, Hours per month: 4, Hours during trading: 4, Duties: Sales and Service of Insurance Products. (2) Name: Jay W. Marshall Wealth Management LLC, Investment Related, Nature of Business/Duties: DBA, Position: Owner, Start Date: 11/2020, 40 hours/mo., 32.5 hours/trading hours
CRS (Client Relationship Summary) - RIA
Click below to view John Walter Marshall III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Walter Marshall III'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
December 2, 2019 - Present
B.B. GRAHAM & COMPANY, INC.
RIA
BD
CRD#: 41533
Newport Beach, CA
Current
December 2, 2019 - Present
B.B. GRAHAM & COMPANY, INC.
RIA
BD
CRD#: 41533
Newport Beach, CA
Past
May 24, 2002 - December 11, 2019
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PASADENA, CA
Past
March 9, 2002 - December 11, 2019
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
PASADENA, CA
Past
September 20, 1999 - March 9, 2002
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
April 1, 1980 - September 21, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 1, 1978 - March 29, 1980
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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(12/2/2019)
IAR
California(12/2/2019)
RR
Colorado(1/31/2020)
RR
Florida(2/4/2025)
RR
Indiana(1/2/2020)
RR
Kentucky(1/2/2020)
RR
Louisiana(1/31/2020)
RR
Nevada(1/2/2020)
RR
Ohio(1/10/2020)
IAR
Ohio(3/31/2022)
RR
Oregon(1/2/2020)
IAR
Oregon(9/1/2020)
RR
Texas(1/2/2020)
RR
Washington(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/9/1988
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/17/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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
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.
