Brian P. Lancaster
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 Lancaster 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 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
August 10, 2009 - July 16, 2013
NATWEST MARKETS SECURITIES INC.
July 1, 2003 - May 13, 2009
WELLS FARGO SECURITIES, LLC
July 27, 2001 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 24, 1990 - July 3, 2001
J.P. MORGAN SECURITIES LLC
May 1, 1989 - July 26, 1990
J.P. MORGAN 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
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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