Brian W. Anderson
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.
Brian William Anderson was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1983. Brian had worked at 16 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2013 - June 16, 2015
CAPITAL GUARDIAN, LLC
November 20, 2012 - October 17, 2013
COHEN & COMPANY SECURITIES, LLC
January 26, 2012 - October 16, 2012
VCG SECURITIES, LLC
June 21, 2010 - September 10, 2010
OPPENHEIMER & CO. INC.
December 8, 2009 - June 10, 2010
COHEN & COMPANY SECURITIES, LLC
August 31, 2009 - December 9, 2009
GAR WOOD SECURITIES, LLC
August 4, 2009 - December 8, 2009
VCG SECURITIES, LLC
July 11, 2005 - November 21, 2007
WAMU CAPITAL CORP.
May 4, 2000 - June 13, 2005
COUNTRYWIDE SECURITIES CORPORATION
September 5, 1996 - May 8, 2000
PERSHING LLC
March 27, 1995 - April 11, 1995
UBS ASSET MANAGEMENT (US) INC.
January 28, 1995 - September 17, 1996
UBS FINANCIAL SERVICES INC.
October 10, 1990 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
March 14, 1990 - October 10, 1990
UBS SECURITIES LLC
December 6, 1989 - March 5, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
March 18, 1986 - March 5, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
March 20, 1984 - April 30, 1986
MORGAN STANLEY & CO. LLC
May 24, 1983 - March 19, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
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
Current Firm
CAPITAL GUARDIAN, LLC
CRD#: 137919 / SEC#: , 8-67133
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
