Brian M. Wacik
Professional summary
Brian Mark Wacik was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Brian had worked at 7 firms, which includes BRECEK & YOUNG ADVISORS INC., CETERA ADVISORS LLC, THE INVESTMENT CENTER INC., SUN LIFE FINANCIAL DISTRIBUTORS INC., TITAN/VALUE EQUITIES GROUP INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2001 - May 26, 2006
BRECEK & YOUNG ADVISORS, INC.
June 20, 2001 - October 19, 2001
CETERA ADVISORS LLC
July 29, 1997 - January 9, 2001
THE INVESTMENT CENTER, INC.
October 22, 1993 - August 1, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 25, 1990 - October 20, 1993
TITAN/VALUE EQUITIES GROUP, INC.
May 27, 1987 - April 30, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 27, 1987 - April 30, 1990
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
Disclosures
| Regulatory Event | 5 |
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