Individual Firm
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STEVEN GUSTAF CARLSON
CRD#: 2185373
IA
B
B.B. GRAHAM & COMPANY, INC.CRD#: 41533 FALMOUTH, MA
0
Disclosures
33
Years of Experience
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State Registrations
B
Massachusetts 3/22/2024
B
New Jersey 10/2/2024
IA
Massachusetts 4/16/2024
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/03/2009 - 03/14/2024 | FALMOUTH, MA | |
B | 07/26/2002 - 03/14/2024 | FALMOUTH, MA | |
IA | 08/20/2004 - 06/26/2009 | FALMOUTH, MA | |
IA | 04/14/1994 - 12/31/2006 | LEXINGTON, MA | |
B | 03/09/1992 - 08/01/2002 | LINCOLN, MA |
FALMOUTH, MA
08/20/2004 - 06/26/2009
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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.
IA
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.