Brian C. Porter
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 Charles Porter was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2001 - December 31, 2002
MUTUAL SERVICE CORPORATION
May 2, 2000 - May 23, 2001
WAMU INVESTMENTS, INC.
April 19, 1998 - June 23, 1998
ROYAL PALM CAPITAL, INC.
December 8, 1997 - January 23, 1998
AUSTIN ATLANTIC CAPITAL INC.
January 28, 1993 - December 3, 1997
SHAY GOVERNMENT SECURITIES CO.
January 28, 1993 - December 8, 1997
SHAY FINANCIAL SERVICES CO.
April 21, 1992 - January 7, 1993
FIRST EMPIRE SECURITIES, INC.
September 9, 1991 - February 11, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 16, 1990 - April 22, 1991
MERIDIAN SECURITIES, INC.
May 18, 1987 - October 11, 1988
ADVEST, INC.
April 12, 1985 - April 27, 1987
TMA GOVERNMENT SECURITIES, LTD.
November 29, 1984 - January 7, 1985
MARCUS, STOWELL & BEYE, 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
Current Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
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.
