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One Federal Street 19Th Floor, Boston, MA 02110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2021-11-05 |
Branch Locations
406 Main Street, Keokuk, IA 52632 • United States
999 Vanderbilt Beach Road Suite 102, Naples, FL 34108 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B.B. Graham & Co. | Orange | CA | 03/2014 | 11/2021 |
| Moors Cabot Inc | Keokuk | IA | 11/2021 | Present |
Board Member-Keokuk City Council, 501 Main Street Keokuk, IA 52632. Nature of activity: Bringing concerns and suggestions to the city council for weekly discussion. No Compensation. 1Time Committment: 1-2 hours every other week after business hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 2008-06-02 |
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