Brian D. Sogluizzo
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 Sogluizzo was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1992. Brian had worked at 7 firms and has passed the Series 63, SIE, Series 99 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2025 - October 2, 2025
CREDIT AGRICOLE SECURITIES (USA) INC.
May 19, 2022 - July 11, 2024
SMBC NIKKO SECURITIES AMERICA, INC.
October 3, 2012 - April 28, 2022
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
October 14, 1998 - February 22, 2000
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 30, 1997 - January 13, 1998
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
May 6, 1993 - May 19, 1995
LAZARD FRERES & CO. LLC
January 20, 1992 - April 3, 1992
A.S. GOLDMEN & CO., 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: 1/17/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
Red Flags
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