Douglas Brad Callen

Employer firm

B.b. Graham & Company, Inc. CRD 41533

$322M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

B.B. Graham & Company, Inc.

1700 W. Katella Ave., Orange, CA 92867 • United States

Current Registrations

Authority	Category	Status	Date
NM	RA	APPROVED	2023-11-28
ND	RA	APPROVED	2023-11-27
NC	RA	APPROVED	2023-11-22
OR	RA	APPROVED	2023-11-22
OK	RA	APPROVED	2015-02-09
HI	RA	APPROVED	2013-06-12
MA	RA	APPROVED	2013-01-08
AZ	RA	APPROVED	2011-08-31
MO	RA	APPROVED	2011-07-28
WI	RA	APPROVED	2011-05-16
NE	RA	APPROVED	2011-05-05
CA	RA	APPROVED	2010-10-29

NM RA
APPROVED

Since 2023-11-28
ND RA
APPROVED

Since 2023-11-27
NC RA
APPROVED

Since 2023-11-22
OR RA
APPROVED

Since 2023-11-22
OK RA
APPROVED

Since 2015-02-09
HI RA
APPROVED

Since 2013-06-12
MA RA
APPROVED

Since 2013-01-08
AZ RA
APPROVED

Since 2011-08-31
MO RA
APPROVED

Since 2011-07-28
WI RA
APPROVED

Since 2011-05-16
NE RA
APPROVED

Since 2011-05-05
CA RA
APPROVED

Since 2010-10-29

Branch Locations

1700 W Katella Ave, Orange, CA 92867 • United States

1700 W. Katella Ave., Orange, CA 92867 • USA

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
B.B. Graham & Co.	Orange	CA	10/2010	Present

10/2010 → Present

B.B. Graham & Co.

Orange, CA

Previous Registrations

2008-11-04 → 2010-11-04

Cuna Brokerage Services, Inc.

Orange, CA

Brea, CA

Westminster, CA
2008-03-17 → 2008-04-04

Ifmg Securities, Inc.

Irvine, CA
2007-08-01 → 2008-03-11

Ifmg Securities, Inc.

Irvine, CA
2003-01-16 → 2007-10-01

Dfc Investor Services

Honolulu, HI

Anaheim, CA

Fullerton, CA

Pleasanton, CA

San Bernardino, CA

Huntington Beach, CA

Seal Beach, CA

Tillamook, OR

Spokane, WA

Enumclaw, WA

Irvine, CA

Auburn, WA

Other Businesses

CONNEXIEN, LLC., CONSULTING TO INVESTMENT RELATED INDUSTRY, 19100 VON KARMEN IRVINE CA, PROVIDES A STRUCTURE FOR COMPANIES LOOKING FOR PROJECT/SERVICE HELP FOR ANY BROKER DEALER, RIA, INSURANCE COMPANY RELATED PROJECTS, 0 TO 3 HOURS MONTHLY (as needed), LISTED ON WEBSITE AS PERSON AVAILABLE FOR PROJECTS. FOR FULL DISCLOSURE PURPOSES, I ALSO SERVE AS AN INDUSTRY ARBITRATOR FOR FINRA(NASD) AND THE NFA.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-11-12
S63	Uniform Securities Agent State Law Examination	1996-11-01

S65 Uniform Investment Adviser Law Examination

1996-11-12
S63 Uniform Securities Agent State Law Examination

1996-11-01

Designations

Certified Financial Planner
Chartered Financial Consultant

Other Names

Douglas Bradley Callen

View on SEC IAPD