Brian J. Mcdonald
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 Joseph Mcdonald was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1988. Brian had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 4 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, 2021 - August 19, 2021
FIRST LIBERTIES FINANCIAL
August 9, 2016 - February 5, 2019
FIRST LIBERTIES FINANCIAL
June 24, 2011 - September 15, 2014
NEWEDGE USA, LLC
March 24, 2011 - May 31, 2011
LIQUID CAPITAL SECURITIES, LLC
August 17, 2010 - March 9, 2011
LIQUID CAPITAL SECURITIES, LLC
April 30, 2010 - July 12, 2010
AVANZA CAPITAL MARKETS INC.
October 9, 2009 - September 20, 2010
PALI CAPITAL, INC.
February 4, 2009 - October 6, 2009
AVANZA CAPITAL MARKETS INC.
March 22, 2002 - August 8, 2008
PALI CAPITAL, INC.
April 7, 2000 - November 21, 2011
CLIFDEN EQUITIES, LLC
June 18, 1996 - April 30, 2002
PALI CAPITAL, LLC
April 21, 1988 - September 29, 1995
CAPITAL INSIGHT BROKERAGE
January 19, 1988 - April 14, 1988
CANTOR FITZGERALD & CO.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
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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