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1700 W. Katella Ave., Orange, CA 92867 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2019-09-18 |
Branch Locations
1700 W. Katella Ave., Orange, CA 92867 • USA
Tampa, FL • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Financial Services, Inc | Minot | ND | 09/2016 | 07/2019 |
| B.B. Graham & Company | Tampa | FL | 08/2019 | Present |
1) Life Insurance License, Fixed insurance; Investment related; agent - start date 6/1/1998; 4305 S. Lois Avenue Tampa, FL 33611; sales & service of life & fixed insurance products through various carriers (not FIA); 1 - 3 hours per month, all during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1988-02-11 |
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