John Walter Marshall

Current Employers

B.B. Graham & Company, Inc.

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

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2022-03-31
OR	RA	APPROVED	2020-09-01
CA	RA	APPROVED	2019-12-02

OH RA
APPROVED

Since 2022-03-31
OR RA
APPROVED

Since 2020-09-01
CA RA
APPROVED

Since 2019-12-02

Branch Locations

Newport Beach, CA • 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

Organization	City	State	From	To
Rbc Capital Markets, Llc	Pasadena	CA	03/2008	11/2019
B.B. Graham & Company	Orange	CA	12/2019	Present

03/2008 → 11/2019

Rbc Capital Markets, Llc

Pasadena, CA
12/2019 → Present

B.B. Graham & Company

Orange, CA

Previous Registrations

2002-05-24 → 2019-12-11

Rbc Capital Markets, Llc

Beverly Hills, CA

Pasadena, CA

Beverly Hills, CA

Other Businesses

(1) Name: Life Insurance License, Investment Related, Nature of Business: Variable and Fixed Insurance Products, Position: Life Agent, Start Date: 1979, Hours per month: 4, Hours during trading: 4, Duties: Sales and Service of Insurance Products. (2) Name: Jay W. Marshall Wealth Management LLC, Investment Related, Nature of Business/Duties: DBA, Position: Owner, Start Date: 11/2020, 40 hours/mo., 32.5 hours/trading hours

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-03-30
S63	Uniform Securities Agent State Law Examination	1984-10-16

S65 Uniform Investment Adviser Law Examination

1995-03-30
S63 Uniform Securities Agent State Law Examination

1984-10-16

Other Names

John Walter Marshall
Jay Marshall

View on SEC IAPD