Brian L. Fabrizzi
Professional summary
Brian Luciano Fabrizzi was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Brian had worked at 3 firms, which includes VAN DER MOOLEN SPECIALISTS USA LLC, HILLTOP SECURITIES INC., WEBER HALL SALE & ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 1997 - February 11, 2005
VAN DER MOOLEN SPECIALISTS USA, LLC
October 26, 1992 - May 2, 1997
HILLTOP SECURITIES INC.
November 14, 1988 - April 5, 1991
WEBER, HALL, SALE & ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
VAN DER MOOLEN SPECIALISTS USA, LLC
CRD#: 32034 / SEC#: , 8-12358
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILL BRIDGE IV, LLC | MEMBER, MANAGEMENT COMMITTEE MEMBER | |
| DEN DRIJVER, RICHARD EDWARD | MANAGEMENT COMMITTEE REPRESENTATIVE OF MILL BRIDGE IV, LLC | 5147976 |
| FLOYD-JONES, WILLIAM | MANAGEMENT COMMITTEE MEMBER, GENERAL COUNSEL & SECRETARY | 4967225 |
| VROLING, PAULUS WILLIBRORDUS | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER & MANAGEMENT COMMITTEE MEMBER | 5248326 |
Disclosures
| Regulatory Event | 9 |
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