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

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-11-19
DE RA APPROVED 2025-11-14
PA RA APPROVED 2025-10-31
  • NJ RA
    APPROVED
    Since 2025-11-19
  • DE RA
    APPROVED
    Since 2025-11-14
  • PA RA
    APPROVED
    Since 2025-10-31

Branch Locations

212 E Drinker Street, Suite C, Dunmore, PA 18512 • United States

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

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
L.M. Kohn & Company Cincinnati OH 01/2012 10/2025
B.B. Graham & Company, Inc. Orange CA 10/2025 Present
Previous Registrations
  • 2012-02-01 → 2025-10-13
    L.M. Kohn & Company
    Atlanta, GA
    Dunmore, PA
    Dunmore, PA
    Cincinnati, OH
    Cincinnati, OH
  • 1999-12-07 → 2003-10-30
    Scranton, PA
Other Businesses

Associate with Conway Financial 212 East Drinker Street, Dunmore Pennsylvania 18512, Stock Broker and Investment Advisor 40 hours per week

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-01-20
S63 Uniform Securities Agent State Law Examination 1981-01-16
  • S65 Uniform Investment Adviser Law Examination
    1993-01-20
  • S63 Uniform Securities Agent State Law Examination
    1981-01-16

View on SEC IAPD

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