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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 2019-09-25
OR RA APPROVED 2019-09-25
  • CA RA
    APPROVED
    Since 2019-09-25
  • OR RA
    APPROVED
    Since 2019-09-25

Branch Locations

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

Sunriver, OR • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Capital Financial Services, Inc Minot ND 06/2015 08/2018
Questar Capital Corporation Minneapolis MN 08/2018 03/2019
Questar Asset Management Minneapolis MN 08/2018 03/2019
Woodbury Financial Services, Inc. Springfield OR 03/2019 09/2019
Woodbury Financial Services, Inc. Springfield OR 03/2019 09/2019
B.B. Graham & Company Orange CA 09/2019 Present
  • 06/2015 → 08/2018
    Capital Financial Services, Inc
    Minot, ND
  • 08/2018 → 03/2019
    Questar Capital Corporation
    Minneapolis, MN
  • 08/2018 → 03/2019
    Questar Asset Management
    Minneapolis, MN
  • 03/2019 → 09/2019
    Woodbury Financial Services, Inc.
    Springfield, OR
  • 03/2019 → 09/2019
    Woodbury Financial Services, Inc.
    Springfield, OR
  • 09/2019 → Present
    B.B. Graham & Company
    Orange, CA
Previous Registrations
  • 2019-03-01 → 2019-09-27
    Woodbury Financial Services, Inc.
    Springfield, OR
  • 2018-08-14 → 2019-03-01
    Questar Asset Management, Inc.
    Springfield, OR
    Minneapolis, MN
  • 2015-06-26 → 2018-08-15
    Capital Financial Services, Inc.
    Eugene, OR
    Minot, ND
    Springfield, OR
    Springfield, OR
    Springfield, OR
  • 2015-04-23 → 2015-07-01
    Msi Financial Services, Inc.
    Lake Oswego, OR
  • 2015-01-30 → 2015-02-17
    Eugene, OR
    Bend, OR
    Spokane, WA
    Portland, OR
    Salem, OR
    Tigard, OR
    Spokane Valley, WA
    Spokane, WA
Other Businesses

WILLAMETTE VALLEY RETIREMENT SERVICES- POSITION: OWNER, INVESTMENT RELATED: No NUMBER OF HOURS: 80 HRS/MO SECURITIES TRADING HOURS: 80HRS/MO START DATE: 08/28/2019 ADDRESS: 6720 AARON LANE, SPRINGFIELD OR 97478, United States DESCRIPTION: SALES AND SERVICES OF FIXED INSURANCE PRODUCTS. LIFE INSURANCE AGENT.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-01-28
S63 Uniform Securities Agent State Law Examination 1996-02-16
  • S65 Uniform Investment Adviser Law Examination
    2015-01-28
  • S63 Uniform Securities Agent State Law Examination
    1996-02-16
Other Names
  • Jeff Reininger

View on SEC IAPD

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