Chief Compliance Officer · B.B. Graham & Company, Inc.
John Wayne Jr Bettfreund
CRD 1448436 · Named on Form ADV at one SEC-registered adviser
At a glance
B.B. Graham & Company, Inc., an SEC-registered broker-dealer firm based in Orange, CA with $322 million in regulatory assets, lists John Wayne Jr Bettfreund on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- B.B. Graham & Company, Inc.Chief Compliance OfficerBroker-dealer firm · Orange, CA · $322M in regulatory assets
AtlasMembers
John’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings
- Bruce Edwin GrahamPresident, Chief Financial Officer, Finop, B.B. Graham & Company, Inc.
- Douglas Brad CallenSenior Vice President, B.B. Graham & Company, Inc.
- Marie Elizabeth GodinezChief Operations Officer, B.B. Graham & Company, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For John’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.