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DOUGLAS BRAD CALLEN
DOUGLAS BRADLEY CALLEN
CRD#: 2133945
IA
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B.B. GRAHAM & COMPANY, INC.CRD#: 41533 1700 W KATELLA AVE
ORANGE, CA 92867
ORANGE, CA 92867
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Disclosures
26
Years of Experience
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State Registrations
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Alabama 1/3/2011
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Nebraska 3/29/2011
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Arizona 1/3/2011
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Nebraska 5/5/2011
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Arizona 8/31/2011
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Nevada 1/2/2013
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Arkansas 1/19/2011
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New Hampshire 1/3/2011
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California 10/28/2010
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New Jersey 5/14/2014
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California 10/29/2010
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New Mexico 9/6/2012
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Colorado 1/2/2013
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New Mexico 11/28/2023
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Connecticut 1/3/2011
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New York 1/2/2013
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Delaware 5/21/2012
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North Carolina 1/3/2011
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District of Columbia 12/15/2023
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North Carolina 11/22/2023
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Florida 1/2/2013
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North Dakota 1/18/2019
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Georgia 1/3/2011
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North Dakota 11/27/2023
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Hawaii 3/15/2013
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Ohio 1/3/2011
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Hawaii 6/12/2013
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Oklahoma 1/3/2011
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Idaho 1/3/2011
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Oklahoma 2/9/2015
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Illinois 1/2/2013
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Oregon 1/3/2012
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Iowa 1/3/2011
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Oregon 11/22/2023
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Kansas 1/3/2011
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Pennsylvania 1/3/2012
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Kentucky 6/12/2012
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Rhode Island 1/3/2011
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Louisiana 1/3/2011
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South Carolina 1/3/2011
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Maine 1/3/2011
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South Dakota 9/27/2012
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Maryland 1/3/2011
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Tennessee 1/3/2011
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Massachusetts 1/2/2013
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Texas 1/13/2011
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Massachusetts 1/8/2013
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Utah 1/3/2011
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Michigan 1/3/2011
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Vermont 10/23/2023
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Minnesota 1/3/2011
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Virginia 1/2/2013
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Mississippi 1/3/2011
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Washington 1/2/2013
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Missouri 1/3/2011
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West Virginia 1/2/2020
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Missouri 7/28/2011
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Wisconsin 5/16/2011
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Montana 8/30/2018
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Wyoming 1/3/2011
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 10/29/2010
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Registered with this firm since 10/28/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/04/2008 - 11/04/2010 | WESTMINSTER, CA | |
B | 11/04/2008 - 11/04/2010 | WESTMINSTER, CA | |
B | 04/05/2001 - 05/26/2009 | IRVINE, CA | |
IA | 03/17/2008 - 04/04/2008 | IRVINE, CA | |
B | 03/17/2008 - 04/04/2008 | IRVINE, CA | |
IA | 08/01/2007 - 03/11/2008 | IRVINE, CA | |
B | 08/01/2007 - 03/11/2008 | IRVINE, CA | |
IA | 01/16/2003 - 10/01/2007 | IRVINE, CA | |
B | 06/15/1998 - 09/03/1999 | IRVINE, CA | |
B | 10/22/1996 - 06/18/1998 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.