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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 2024-05-23
  • CA RA
    APPROVED
    Since 2024-05-23

Branch Locations

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

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
Crown Capital Securities, Lp Orange CA 11/2007 05/2024
Consolidated Brokerage Services Orange CA 11/2007 05/2024
B.B. Graham Orange CA 05/2024 Present
  • 11/2007 → 05/2024
    Crown Capital Securities, Lp
    Orange, CA
  • 11/2007 → 05/2024
    Consolidated Brokerage Services
    Orange, CA
  • 05/2024 → Present
    B.B. Graham
    Orange, CA
Previous Registrations
  • 2007-11-13 → 2024-05-07
    Crown Capital Securities, L.P.
    Orange, CA
    Orange, CA
  • 2007-01-22 → 2007-06-29
    Brookstreet Securities Corporation
    San Juan Capistrano, CA
  • 2006-05-09 → 2006-06-09
    Wamu Investments, Inc.
    Irvine, CA
    Irvine, CA
Other Businesses

Insurance License: Business Name: Steven V. Anderson Investment-related: Yes Address: La Mirada, CA Nature of business: Maintains a California Life Agent license as part of employment in the securities / insurance business. Position: N/A Title or Relationship: Registered Life Agent Start Date of your relationship: 05/1996 Hours/month: 1 Number of hours during securities trading hours: 0 Duties: Determine customer needs for insurance products

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-08
S63 Uniform Securities Agent State Law Examination 1996-05-22
  • S65 Uniform Investment Adviser Law Examination
    2006-05-08
  • S63 Uniform Securities Agent State Law Examination
    1996-05-22
Other Names
  • Steve V. Anderson

View on SEC IAPD

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