Brian P. Delaney
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 Peter Delaney, who also goes by Brian P Delaney, 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 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2006 - September 24, 2012
ROSENTHAL GLOBAL SECURITIES LLC
February 15, 2005 - November 15, 2005
REFCO SECURITIES, LLC
September 14, 2001 - February 3, 2005
TRANSMARKET GROUP L.L.C.
January 8, 1998 - March 29, 2001
HARRIS NESBITT CORP.
April 12, 1995 - December 18, 1997
CITIGROUP GLOBAL MARKETS INC.
May 5, 1994 - April 7, 1995
BARCLAYS CAPITAL INC.
October 4, 1993 - March 28, 1994
BANC OF AMERICA SECURITIES LLC
February 22, 1989 - July 22, 1993
CRT GOVERNMENT SECURITIES, LTD.
March 29, 1988 - October 28, 1988
CITICORP SECURITIES, INC.
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
Current Firm
ROSENTHAL GLOBAL SECURITIES LLC
CRD#: 19721 / SEC#: , 8-38021
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
