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

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-11-05
  • TX RA
    APPROVED
    Since 2024-11-05

Branch Locations

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

Leander, TX • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Fort Collins CO 08/2008 02/2018
Moloney Securities Co., Inc. Manchester MO 02/2018 11/2024
Moloney Securities Asset Management, Llc Manchester MO 02/2018 11/2024
B.B. Graham And Company Orange CA 11/2024 Present
  • 08/2008 → 02/2018
    Fort Collins, CO
  • 02/2018 → 11/2024
    Moloney Securities Co., Inc.
    Manchester, MO
  • 02/2018 → 11/2024
    Moloney Securities Asset Management, Llc
    Manchester, MO
  • 11/2024 → Present
    B.B. Graham And Company
    Orange, CA
Previous Registrations
  • 2018-02-28 → 2024-11-04
    Moloney Securities Asset Management Llc
    Windsor, CO
    Manchester, MO
    Fort Collins, CO
  • 2008-08-28 → 2018-03-16
    Fort Collins, CO
  • 2008-01-01 → 2008-09-02
    Boulder, CO
  • 1994-07-18 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Boulder, CO
    Boulder, CO
    St. Louis, MO
Other Businesses

1. CALAHART CROSSROADS; NOT INVESTMENT RELATED; 4045 ST. CLOUD DRIVE LOVELAND, CO 80538; REAL ESTATE OWNERSHIP; OWNER; START: 02/28/2006; HOURS PER MONTH: 1; BUSINESS DURING SECURITIES HOURS: 0; REVIEW MONTHLY STATEMENT 2. CROSSROADS PLAZA CONDO ASSOCIATION;NOT INVESTMENT RELATED; 4045 ST. CLOUD DRIVE PO BOX 270548 FT COLLINS, CO 80538; CALAHART HOMEOWNERS ASSOCIATION; BOARD MEMBER; OWNER PARTICIPANT; 11/2009; HOURS PER YEAR: 1; HOURS DURING SECURITIES MARKET HOURS: 0; PARTICIPATE IN ANNUAL MEETING 3. 831 TRIANGLE FAMILY TRUST; NOT INVESTMENT RELATED; TRUST; INDEPENDENT TRUSTEE; NO CURRENT ACTIVE DUTIES; DESIGNATED TRUSTEE; START DATE: 2022; HOURS PER MONTH: 0; BUSINESS DURING SECURITIES HOURS: 0; NO ACTIVE DUTIES 4. YELLOWSTONE 6580 REVOCABLE LIVING TRUST; TRUST; INDEPENDENT TRUSTEE; NO CURRENT ACTIVE DUTIES; DESIGNATED TRUSTEE; START DATE: 2022; HOURS PER MONTH: 0; BUSINESS DURING SECURITIES HOURS: 0; NO ACTIVE DUTIES

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-12-12
  • S63 Uniform Securities Agent State Law Examination
    1986-12-12

View on SEC IAPD

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