Bryan L. Carper
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.
Bryan Lewis Carper was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1983. Bryan had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2016 - May 2, 2017
CUNA BROKERAGE SERVICES, INC.
February 24, 2016 - May 2, 2017
CUNA BROKERAGE SERVICES, INC.
May 23, 2002 - May 14, 2014
TRUIST INVESTMENT SERVICES, INC.
May 26, 2000 - May 14, 2014
TRUIST INVESTMENT SERVICES, INC.
February 17, 1993 - May 26, 2000
CRESTAR SECURITIES CORPORATION
July 30, 1991 - July 29, 1993
INDEPENDENT FINANCIAL SECURITIES, INC.
September 27, 1989 - February 5, 1991
COMPULIFE INVESTOR SERVICES, INC.
March 17, 1988 - September 17, 1988
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
June 16, 1986 - April 13, 1987
MML INVESTORS SERVICES, LLC
October 30, 1984 - June 19, 1986
ANDERSON & STRUDWICK, INCORPORATED
June 17, 1983 - November 27, 1984
PRUCO SECURITIES, LLC.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
