John Walter Marshall III
Investment Adviser Representative at B.b. Graham & Company, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
John Walter Marshall is an investment adviser representative with B.b. Graham & Company, Inc. in Newport Beach, CA, where they have been registered since 2019. They have worked in the securities industry since 1978 and were previously registered with RBC Capital Markets, LLC. They have passed 10 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California, Ohio, and Oregon.
Registrations & licenses
- Investment adviser:
- California, Ohio, Oregon
- Broker:
11 states and territories
California, Colorado, Florida, Indiana, Kentucky, Louisiana, Nevada, Ohio, Oregon, Texas, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- RBC Capital Markets, LLCMar 2008 – Nov 2019Pasadena, CA
- B.b. Graham & CompanyDec 2019 – no end date reportedOrange, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About B.b. Graham & Company, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Transactions & Commissions, Fee-Based Advisory, Direct Sales (Insurance & Securities), Dual or Hybrid business models, as well as Clearing Partner, Operations, Compliance, Investment Options, Fee Based Solutions, Marketing, Transition Services, Technology, Research, Training & Development, Client Access, E&O Insurance, Succession Planning, practice acquisition, and services for Broker/Dealers or RIAs.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 29
- Offices listed on AdvisorFinder:
- 7
- Main office:
- Orange, CA
- SEC file number:
- 801-106968
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of October 1, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Walter Marshall III has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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