Investment Adviser Firm Summary

B.B. GRAHAM & COMPANY, INC. (CRD# 41533 / SEC# 8-49477, 801-106968)
Alternate Names: B.B. GRAHAM & COMPANY, INC.

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm


SEC Approved 12/03/2015
Arizona Terminated 12/17/2015
California Terminated 01/16/2016
Florida Terminated 12/17/2015
Illinois Terminated 12/03/2015
Iowa Terminated 12/31/2015
Massachusetts Terminated 12/17/2015
Missouri Terminated 12/17/2015
Nebraska Terminated 12/31/2015
North Carolina Terminated 12/17/2015
Oklahoma Terminated 12/17/2015
Texas Terminated 12/17/2015
Wisconsin Terminated 12/18/2015


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

Alaska 10/03/2018
Arizona 12/03/2015
California 12/03/2015
Colorado 12/03/2015
Connecticut 10/03/2018
Florida 12/03/2015
Georgia 05/03/2017
Hawaii 12/03/2015
Idaho 03/05/2018
Illinois 12/03/2015
Indiana 02/16/2017
Iowa 12/03/2015
Kentucky 12/03/2015
Louisiana 08/30/2017
Massachusetts 12/03/2015
Minnesota 12/03/2015
Missouri 12/03/2015
Montana 09/25/2018
Nebraska 12/03/2015
Nevada 12/03/2015
New Jersey 12/04/2015
New Mexico 01/11/2016
New York 12/03/2015
North Carolina 12/03/2015
North Dakota 10/03/2018
Oklahoma 12/03/2015
Oregon 04/08/2016
South Dakota 10/03/2018
Texas 12/03/2015
Washington 12/03/2015
Wisconsin 12/03/2015
Wyoming 10/03/2018


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser