Brian J. Gaffney
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 Joseph Gaffney 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, SIE, Series 7, Series 10, Series 9 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
July 18, 2008 - January 12, 2016
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
July 26, 2002 - July 15, 2008
NEUBERGER BERMAN BD LLC
October 6, 2000 - July 15, 2008
NEUBERGER BERMAN BD LLC
January 12, 1994 - July 15, 2008
NEUBERGER BERMAN MANAGEMENT LLC
January 21, 1992 - December 7, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 22, 1989 - December 31, 1991
CIGNA CAPITAL BROKERAGE, 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
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
CRD#: 25567 / SEC#: , 8-41811
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
