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DB

Donald C. Brain

Some features on this profile are disabled
CRD#: 1171976
DB

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.

Donald Chester Brain was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

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

August 20, 2009 - July 29, 2013

GLOBAL WINE PARTNERS (U.S.) LLC

BD
CRD#: 130192
ST. HELENA, CA
Past

October 28, 1991 - December 31, 1992

OSAIC WEALTH, INC.

BD
CRD#: 23131
Past

September 24, 1986 - November 8, 1989

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
Past

November 8, 1984 - October 15, 1986

CENTURY CAPITAL CORP. OF SOUTH CAROLINA

BD
CRD#: 15780
Past

January 30, 1984 - January 28, 1985

AMERICAN WEST INVESTMENT COMPANY

BD
CRD#: 13670

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: 10/27/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2010
General Securities Principal Examination

Current Firm

GW
GLOBAL WINE PARTNERS (U.S.) LLC
GLOBAL WINE PARTNERS | MKF CAPITAL ADVISORS LLC | GLOBAL WINE PARTNERS (U.S.) LLC

CRD#: 130192 / SEC#: , 8-66312

BD
Terminated by SEC on 04/29/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/08/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL WINE PARTNERS LLCOWNER
FISHER, MICHAEL LEECFO/FIN OPS/ REGISTERED PRINCIPAL4613393
MOTTO, VICTOR LOUISCEO/COO/CCO/REGISTERED PRINCIPAL4613405

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

GLOBAL WINE PARTNERS (U.S.) LLC

CRD#: 130192

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