COMPLIANCE

The compliance department at B.B. Graham & Co. is staffed with knowledgeable industry professionals who believe that compliance can serve in a consultative role and be proactive to help you reduce the possibility of complaints and mitigate business risk.

Our compliance personnel are supportive of your business and responsive to your concerns by providing you with practical guidance and assistance in the specific areas that are relevant to your practice.

Our compliance support and supervision services include:

  • Advertising reviews and approvals
  • Branch and location reviews
  • Continuing education issues
  • Licensing and renewals
  • Annual compliance requirements and meetings
  • Outside Business Activity review and analysis
  • Transaction & fee-based reviews and monitoring
  • Guidance with sales practice issues
  • Direction for proper record keeping

The compliance professionals at B.B. Graham & Co. are available for direct consultation via telephone or email to discuss your questions or concerns.

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B.B. Graham & Co. is a broker/dealer and investment advisory firm dedicated to supporting independent financial advisors. 

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B.B. Graham & Co. 1700 West Katella Ave. Orange, CA 92867
Phone: 888-847-2426

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