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1700 W. Katella Ave., Orange, CA 92867 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-01-05 |
| WA | RA | APPROVED | 2020-09-10 |
| AZ | RA | APPROVED | 2020-05-22 |
| MO | RA | APPROVED | 2016-09-08 |
| MN | RA | APPROVED | 2015-12-14 |
| IL | RA | APPROVED | 2015-11-30 |
Branch Locations
111 E. Fourth St. Suite 100, Alton, IL 62002 • United States
1700 W. Katella Ave., Orange, CA 92867 • USA
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B.B. Graham & Co. | Orange | CA | 06/2015 | Present |
ALTON SECURITIES & ASSET ADVISORS, LLC; DBA FOR BRANCH OF B.B. GRAHAM & CO.; 50% OWNER, INVESTMENT & FINANCIAL BUSINESS. ROBERTA KAY FITZPATRICK ESTATE; INVESTMENT RELATED; 111 E. FOURTH ST. SUITE 100, ALTON, IL 62002; EXECUTOR OF THE ESTATE; START: 6/29/26; 10-12 HOURS PER MONTH; 2-4 HOURS PER MONTH DURING MARKET HOURS; DUTIES: PERFORM ADMINISTRATIVE FUNCTIONS AND DISTRIBUTION OF ASSETS UNDER TERMS OF THE WILL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 1989-07-11 |
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