Brian G. Augustyn
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 Gerard Augustyn was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 27 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
June 9, 1994 - November 12, 1999
GENEVA SECURITIES,INC.
January 3, 1994 - June 3, 1994
SECURITIES AMERICA, INC.
October 5, 1990 - December 31, 1993
GENEVA SECURITIES,INC.
June 28, 1988 - October 31, 1990
BENCHMARK FINANCIAL GROUP, INC.
October 9, 1987 - May 23, 1988
MONACO SECURITIES, INC.
December 19, 1986 - October 27, 1987
R.T. CALDWELL & CO., INCORPORATED
January 27, 1986 - November 3, 1987
TRANSAMERICA FINANCIAL ADVISORS, 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
GENEVA SECURITIES,INC.
CRD#: 16178 / SEC#: , 8-33477
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEFCO FINANCIAL GROUP, INC. | OWNER | |
| AUGUSTYN, BRIAN GERARD | VICE PRESIDENT, SALES - WEST DIVISION | 1438721 |
| BARR, ZENDA SYNSTEBY | VICE PRESIDENT, MUNICIPAL TRADING | 729157 |
| BRASER, DAVID VALEY | VICE PRESIDENT, MUNICIPAL TRADING | 817373 |
| EISENMENGER, RICHARD MICHAEL | CEO, DIRECTOR | 76637 |
| MAVES, CARL WILLIAM | VICE PRESIDENT, RETAIL TRADING | 323566 |
| MESSENGER, LEROY KENNETH | COO, CFO, DIRECTOR, SECRETARY/TREASURER | 815653 |
| ZUREK, JAMES KEITH | SROP/CROP | 824892 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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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