Brian D. Otoole
Professional summary
Brian Damian Otoole was barred by the SEC 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 3 firms, which includes D.E. FREY & COMPANY INC., PIPER SANDLER & CO., B.C. CHRISTOPHER SECURITIES CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 1992 - June 14, 1996
D.E. FREY & COMPANY, INC.
April 17, 1990 - January 17, 1992
PIPER SANDLER & CO.
October 21, 1987 - April 20, 1990
B.C. CHRISTOPHER SECURITIES CO.
State Registrations and Notice Filings
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Exams
Current Firm
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
Red Flags
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