Vic Brittain
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vic Brittain was a registered financial professional .
Vic is a previously registered financial professional and started their career in finance in 1983. Vic had worked at 3 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 1990 - June 24, 1991
EMPIRE NATIONAL SECURITIES, INCORPORATED
June 27, 1988 - October 5, 1989
EMPIRE NATIONAL SECURITIES, INCORPORATED
January 6, 1987 - November 3, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 1983 - January 5, 1987
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/10/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EMPIRE NATIONAL SECURITIES, INCORPORATED
CRD#: 7361 / SEC#: , 8-21457
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
