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TB

Travis A. Branch

Some features on this profile are disabled
CRD#: 1379908
TB

Professional summary

Travis Anthony Branch was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Travis is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Travis had worked at 5 firms, which includes WORKMAN SECURITIES CORPORATION, BROOKSTREET SECURITIES CORPORATION, CONSOLIDATED INVESTMENT SERVICES INC., FINANCIAL WEST GROUP, MONY SECURITIES CORPORATION.

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

April 4, 2008 - May 2, 2008

WORKMAN SECURITIES CORPORATION

BD
CRD#: 31898
EDEN PRAIRIE, MN
Past

February 6, 1995 - July 20, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
HONOLULU, HI
Past

May 1, 1991 - February 13, 1995

CONSOLIDATED INVESTMENT SERVICES, INC.

BD
CRD#: 7929
LITTLETON, CO
Past

January 6, 1988 - May 14, 1991

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

August 9, 1985 - November 24, 1987

MONY SECURITIES CORPORATION

BD
CRD#: 4386

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
IAR
Series 65
Date: 9/13/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/3/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 11/2/1985
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/3/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/19/1988
General Securities Principal Examination

Current Firm

WS
WORKMAN SECURITIES CORPORATION
WORKMAN SECURITIES ADVISORY SERVICES | WORKMAN SECURITIES CORPORATION

CRD#: 31898 / SEC#: 801-65758, 8-45573

BD
Terminated by SEC on 12/02/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 12/10/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BDMA, INC.OWNER
GUSTAFSON, TRACY ANNEFINANCIAL & OPERATIONS PRINCIPAL5313898
MAXA, PAUL JACOBCEO, TREASURER, CCO AND CFO2059711
VIETOR, DANA BRUCEPRESIDENT & SECRETARY873129

Disclosures

Regulatory Event5
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WORKMAN SECURITIES CORPORATION

CRD#: 31898

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