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BG

Braxton G. Grizzard

Some features on this profile are disabled
CRD#: 1137438
BG

Professional summary

Braxton Gale Grizzard was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Braxton is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Braxton had worked at 8 firms, which includes BROOKSTREET SECURITIES CORPORATION, ROUND HILL SECURITIES INC., SPELMAN & CO. INC., TITAN/VALUE EQUITIES GROUP INC., IFG NETWORK SECURITIES INC., PLANNED INVESTMENTS INC., UBS FINANCIAL SERVICES INC., DONALD SHELDON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 2, 1998 - December 31, 2003

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

October 3, 1996 - March 27, 1998

ROUND HILL SECURITIES, INC.

BD
CRD#: 35223
ALAMO, CA
Past

May 16, 1995 - October 1, 1996

SPELMAN & CO., INC.

BD
CRD#: 10232
PHOENIX, AZ
Past

July 8, 1993 - May 10, 1995

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA
Past

February 24, 1993 - July 7, 1993

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

January 20, 1986 - December 31, 1992

PLANNED INVESTMENTS INC.

BD
CRD#: 5066
ATLANTA, GA
Past

October 5, 1984 - October 22, 1985

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

June 24, 1983 - October 3, 1984

DONALD SHELDON & CO., INC.

BD
CRD#: 6966

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/6/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/1/1986
General Securities Principal Examination

Current Firm

BS
BROOKSTREET SECURITIES CORPORATION
BROOKSTREET CAPITAL MANAGEMENT | TMG SECURITIES, INC. | FINANCIAL MANAGEMENT ADVISORS,INC. | BROOKSTREET SECURITIES CORPORATION

CRD#: 14667 / SEC#: , 8-31032

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/24/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEESHAREHOLDER / OWNER
BROOKS, STANLEY CLIFTONPRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST31684

Disclosures

Regulatory Event25
Civil Event1
Arbitration22

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.

Company Information

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

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