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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 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B.B. Graham & Co. | Orange | CA | 10/2010 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-12 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-01 |
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