Allan G. Brandvein
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.
Allan Geoffrey Brandvein was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1986. Allan had worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2013 - February 11, 2014
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
September 3, 1996 - April 2, 1998
SECURIAN FINANCIAL SERVICES, INC.
February 3, 1994 - January 16, 1996
GUARDIAN INVESTOR SERVICES LLC
January 28, 1992 - June 19, 1992
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 22, 1990 - December 23, 1991
THE ADVISORS GROUP, INC.
February 24, 1989 - December 1, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
February 24, 1989 - December 1, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 23, 1986 - June 15, 1987
PFS INVESTMENTS 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
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
CRD#: 132070 / SEC#: 801-63282
Contact information
Red Flags
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