Norman Harp: BB Graham Advisor Faces $100K Complaint

A recent investor complaint against Leawood, Kansas financial advisor Norman Harp (CRD# 2480563) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with BB Graham & Company and an investment advisor with Retirement Resources, having previously been registered with Moloney Securities.

Mr. Harp’s BrokerCheck report discloses one recent investor complaint. Filed in July 2023, it alleges that as a representative of Moloney Securities, he recommended an unsuitable corporate bond investment and acted negligently. The pending complaint alleges damages of $100,001. In a statement included with the pending complaint’s disclosure, Mr. Harp pushed back against the allegations, writing: “I refute the allegations of the claims.”

According to the Financial Industry Regulatory Authority, Norman Harp holds 22 years of securities industry experience. Based in Leawood, Kansas, he has been a broker with BB Graham & Company since 2017 and an investment advisor with Retirement Resources since 2013. His past registrations include Moloney Securities (Leawood, Kansas; 2008-2017), ProEquities (Harrisonville, Missouri; 2006-2008), Waddell & Reed (Independence, Misouri; 2006), Royal Alliance Associates (Harrisonville, Missouri; 2003-2006), Shepard & Associates (Merriam, Kansas; 2001-2003), and Cambridge Investment Research (Fairfield, Iowa; 2000-2003). His credentials include the passage of six securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Direct Participation Programs Representative Examination, or Series 22; the Corporate Securities Limited Representative Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Kansas and Missouri. (Information current as of September 4, 2023.)

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