Brian C. Vrooman
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 Craig Vrooman, who also goes by Craig Vrooman, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1985. Brian had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2010 - December 31, 2019
VROOMAN AND ASSOCIATES, INC.
July 13, 1989 - March 22, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 24, 1988 - July 17, 1989
FSC SECURITIES CORPORATION
July 1, 1987 - March 5, 1988
LEXINGTON FUNDS DISTRIBUTOR, INC.
May 24, 1985 - June 11, 1987
VESTAX SECURITIES CORPORATION
April 24, 1985 - June 10, 1985
JOHN HANCOCK DISTRIBUTORS 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
VROOMAN AND ASSOCIATES, INC.
CRD#: 124740 / SEC#:
Contact information
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.
