Brian C. Lippey
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 Lippey was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 5 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 25, 2020 - December 6, 2020
HOLLISTER ASSOCIATES, LLC
May 31, 1996 - May 22, 1998
TOKAI SECURITIES, INC.
February 15, 1989 - July 13, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1984 - February 23, 1989
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 6/25/2020
General Securities Representative ExaminationSeries 15
Date: 12/11/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/5/1984
Interest Rate Options ExaminationCurrent Firm
HOLLISTER ASSOCIATES, LLC
CRD#: 173366 / SEC#: , 8-69538
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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