Brian D. Egger
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 David Egger was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1989. Brian had worked at 5 firms and has passed the Series 63, Series 87, Series 86, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2011 - November 8, 2012
TOPEKA CAPITAL MARKETS INC.
February 24, 2003 - March 22, 2007
BMO CAPITAL MARKETS CORP.
October 10, 2000 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
May 15, 1996 - October 10, 2000
PERSHING LLC
July 29, 1992 - May 24, 1996
CREDIT SUISSE SECURITIES (USA) LLC
March 7, 1989 - July 31, 1990
GOLDMAN SACHS & CO. LLC
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
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
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.
