Brian F. Duggan
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 Flynn Duggan was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 6 firms and has passed the Series 63, Series 7, Series 10, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2021 - July 12, 2022
CLEARLIST SECURITIES LLC
January 11, 2021 - July 12, 2022
CLEARLIST LLC
March 7, 2002 - June 13, 2011
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 6, 1991 - June 25, 2004
FIRST OPTIONS OF CHICAGO, INC.
January 2, 1989 - September 13, 1989
FIRST OPTIONS OF CHICAGO, INC.
August 18, 1987 - December 21, 1987
SHATKIN FINANCIAL SERVICES, INC.
March 25, 1987 - June 10, 1987
ALLEGHENY INVESTMENTS, LTD.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CLEARLIST SECURITIES LLC
CRD#: 309455 / SEC#: , 8-70540
Contact information
FINRA licenses (48 States and Territories)
Red Flags
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