BG

Bruce Edwin Graham

B.B. Graham & Company, INC.
30 Years of Experience
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Firm Information

B.B. Graham & Company, INC.
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
51 advisors
Number of Clients
303 clients
Average Client Portfolio
$647K average
Assets Under Management
$196.1M

Fee Structure

Minimum Investment:$50K
Hourly Rate:$50/hr

Investment management fees are negotiable, not to exceed 2.99% of investable assets. Financial planning fees are based on a minimum hourly rate of $50, which is also negotiable depending on the complexity of the services. Fees may be higher or lower depending on pre-existing relationships or agreements. A minimum investment of $50,000 is generally required, but this may be negotiable.

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Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & Coaching

Advisor Information

Office location

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

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Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2006
Award / Judgment
Customer Dispute
December 2003
Award / Judgment
Customer Dispute
October 2003
Settled
Customer Dispute
February 2001
Settled
Customer Dispute
February 1998
Settled
Customer Dispute
January 1997
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Bruce is the 100% owner of Graham Advisory & Company, a fee-based advisory business, dedicating about 10-20% of his time. He also owns 1700 Katella LLC, ECG Aviation, Historic Aircraft Preservation, and Graham Air Storage, spending minimal time on each, and these are not securities related.

Employment History
Current Registrations
B.B. Graham & Company, INC.
September 2007 - Present · 18 yrs 4 mos
Graham & CO. Advisory, INC.
September 2003 - Present · 22 yrs 4 mos
B.B. Graham & Company, INC. Broker
May 1997 - Present · 28 yrs 8 mos
Previous Registrations
Interfirst Capital CorporationBroker
April 1995 - May 1997 · 2 yrs 1 mo
State Registrations27 states
AKARAZCACOCTFLHIIDILINKSMAMIMTNJNVNYOHORPASCTXVAWAWIWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.