Brett G. Hartshorn
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.
Brett Gordon Hartshorn was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1990. Brett had worked at 13 firms and has passed the Series 63, Series 7, Series 62 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2001 - November 29, 2002
BNY MELLON SECURITIES LLC
January 17, 2001 - December 5, 2001
CONSECO SECURITIES, INC.
April 1, 1998 - June 15, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 18, 1996 - April 1, 1998
BARNETT INVESTMENTS, INC.
June 13, 1995 - October 8, 1996
DRIZOS INVESTMENTS, INC.
October 13, 1994 - April 11, 1995
SECURITIES AMERICA, INC.
December 4, 1992 - November 27, 1993
SECURITIES SERVICE NETWORK, LLC
September 1, 1992 - December 4, 1992
MEYERS POLLOCK ROBBINS, INC.
July 17, 1992 - September 2, 1992
DEL MAR SECURITIES, INC.
June 26, 1991 - April 13, 1992
CHATFIELD DEAN & CO., INC.
October 2, 1990 - June 20, 1991
AMERICAN FRONTEER FINANCIAL CORPORATION
May 21, 1990 - July 18, 1990
FIRST CHOICE SECURITIES CORP.
January 26, 1990 - May 25, 1990
MALONE & ASSOCIATES, 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
Series 62
Date: 1/24/1990
Corporate Securities Limited Representative ExaminationCurrent Firm
BNY MELLON SECURITIES LLC
CRD#: 47268 / SEC#: , 8-51710
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
