Brian Flynn Duggan
Professional Summary
Brian Flynn Duggan was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 1987 - 2022. Brian had worked at 6 firms and has passed the Series 63, Series 7, Series 10, Series 4, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
CLEARLIST SECURITIES LLC
Contact Information
Main Address
625 6th Avenue 38th Floor, New York, NY 10005Mailing Address
625 6th Avenue 3rd Floor, New York, NY 10011Phone Number
(212) 207-1380Established
Delaware since 03/24/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
7FINRA licenses (48 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEARLIST HOLDINGS LLC | MEMBER | — |
| CHAIKIN, KASSIDY | CHIEF OPERATING OFFICER | 7596402 |
| GILLETTE, CHARLES P | CHIEF COMPLIANCE OFFICER | 3174027 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| MURPHY, PATRICK THOMAS | CHIEF EXECUTIVE OFFICER | 2439168 |
| PARISE, JANICE DRU | FINOP/PFO | 2338583 |
| WHITE, WHITNEY JAMES | CHIEF INFORMATION OFFICER, PRESIDENT | 3093386 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2006About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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