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Current Employers
B.B. Graham & Company, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-09-08
  • CA RA
    APPROVED
    Since 2023-09-08

Branch Locations

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

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
OrganizationCityStateFromTo
Unionbanc Investment Services Los Angeles CA 11/2012 12/2020
Farmers Financial Solutions, Llc (Crd#:103863) Westlake Village CA 03/2021 02/2023
B.B. Graham & Company, Inc. Orange CA 09/2023 Present
Real Estate Ebroker Carlsbad CA 02/2023 08/2023
  • 11/2012 → 12/2020
    Unionbanc Investment Services
    Los Angeles, CA
  • 03/2021 → 02/2023
    Farmers Financial Solutions, Llc (Crd#:103863)
    Westlake Village, CA
  • 09/2023 → Present
    Orange, CA
  • 02/2023 → 08/2023
    Real Estate Ebroker
    Carlsbad, CA
Previous Registrations
  • 2012-11-08 → 2020-12-01
    Los Angeles, CA
    Glendale, CA
  • 2010-07-09 → 2011-02-14
    National Planning Corporation
    El Segundo, CA
  • 2009-11-06 → 2010-05-04
    Chase Investment Services Corp.
    San Clemente, CA
  • 2009-05-02 → 2009-05-27
    Chase Investment Services Corp.
    Irvine, CA
  • 2006-07-25 → 2009-05-02
    Wamu Investments, Inc.
    Irvine, CA
    Irvine, CA
    Irvine, CA
Other Businesses

REAL ESTATE RENTALS; INVESTMENT-RELATED: YES; ADDRESS: PO BOX 3097 TUSTIN, CA 92781; NATURE OF BUSINESS: REAL ESTATE RENTAL; POSITION: N/A; RELATIONSHIP: OWNERSHIP INTEREST; START DATE OF YOUR RELATIONSHIP: 01/01/2003; HOURS/MONTH: 1; HOURS DURING SECURITIES TRADING HOURS: 0; DUTIES: MINOR MAINTENANCE AND OCCASIONAL COMMUNICATIONS TO/FROM PROPERTY MANAGEMENT REAL ESTATE BROKER ASSOCIATE; BUSINESS NAME: REAL ESTATE EBROKER INC.; INVESTMENT-RELATED: NO; ADDRESS: 950 BOARDWALK SUITE 203, SAN MARCOS, CA 92078; NATURE OF BUSINESS: MAINTAINS CALIFORNIA REAL ESTATE BROKER-ASSOCIATE LICENSE. DUTIES: PERFORM REAL ESTATE TRANSACTIONS; TITLE: REAL ESTATE BROKER-ASSOCIATE; START DATE OF YOUR RELATIONSHIP:02/26/2019; HOURS/MONTH: 1; HOURS DURING SECURITIES TRADING HOURS: 0; DUTIES: REAL ESTATE TRANSACTIONS MORTGAGE LOAN ORIGINATOR LICENSE; BUSINESS NAME: SELF; INVESTMENT-RELATED: NO; ADDRESS: PO BOX 3097, TUSTIN, CA 92781; NATURE OF BUSINESS: MORTGAGE LOAN ORIGINATION. DUTIES: PERFORM MORTGAGE LOAN ORIGINATION TRANSACTIONS; TITLE: MORTGAGE LOAN ORIGINATOR; START DATE:01/19/2021; HOURS/MONTH: 1; HOURS DURING SECURITIES TRADING HOURS: 0; DUTIES: CONDUCT MORTGAGE LOAN ORIGINATING TRANSACTIONS US WEALTHCARE LLC; INVESTMENT-RELATED: NO; ADDRESS: PO BOX 3097 TUSTIN, CA 92781; NATURE: ENTITY USED TO PROCESS BUSINESS TRANSACTIONS; POSITION/TITLE: OWNER; START DATE: 5/2025; HOURS/MONTH: 1; HOURS YOU DURING SECURITIES TRADING HOURS; 0/MONTH; DUTIES: ADMINISTRATIVE INSURANCE LICENSE; INVESTMENT-RELATED: YES; ADDRESS: PO BOX 3097 TUSTIN, CA 92781; NATURE OF BUSINESS: MAINTAINS A CALIFORNIA LIFE AGENT LICENSE AS PART OF EMPLOYMENT IN THE SECURITIES / INSURANCE; POSITION: N/A; TITLE: REGISTERED LIFE AGENT; START DATE: 06/19/1995; HOURS/MONTH: 1; HOURS DURING SECURITIES TRADING HOURS: 0; DUTIES: N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-31
S65 Uniform Investment Adviser Law Examination 2006-07-24
S63 Uniform Securities Agent State Law Examination 1999-02-05
  • S66 Uniform Combined State Law Examination
    2023-03-31
  • S65 Uniform Investment Adviser Law Examination
    2006-07-24
  • S63 Uniform Securities Agent State Law Examination
    1999-02-05
Other Names
  • Edward Larios
  • Ed Larios

View on SEC IAPD

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