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BS

Brian L. Sowell

ARCHIPELAGO TRADING SERVICES
Atlanta, GA 30328
Some features on this profile are disabled
CRD#: 2190599
BS

Professional summary

Brian Landry Sowell is a registered financial professional currently at ARCHIPELAGO TRADING SERVICES, INC. located in Atlanta, Georgia and ARCHIPELAGO SECURITIES L.L.C. located in Atlanta, Georgia.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Landry Sowell's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 6, 2000 - Present

ARCHIPELAGO TRADING SERVICES, INC.

Office #1: 5680 New Northside Drive Nw. 1st Floor, Atlanta, GA 30328
BD
CRD#: 15853
Atlanta, GA
Current

February 9, 2009 - Present

ARCHIPELAGO SECURITIES L.L.C.

Office #1: 5680 New Northside Drive Nw 1st Floor, Atlanta, GA 30328
BD
CRD#: 102500
Atlanta, GA
Past

April 2, 1996 - February 17, 2000

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

October 17, 1994 - February 27, 1995

PREFERRED SECURITIES GROUP, INC.

BD
CRD#: 35704
BOCA RATON, FL
Past

June 24, 1992 - October 20, 1992

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

April 6, 1992 - June 8, 1992

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(3/6/2000)
RR
Illinois
(12/20/2000)

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/28/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/3/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/14/2003
General Securities Principal Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

AS
ARCHIPELAGO SECURITIES L.L.C.
ARCHIPELAGO SECURITIES L.L.C. | REDIBOOK ECN LLC

CRD#: 102500 / SEC#: , 8-52140

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
353 North Clark Street Suite #3200, Chicago, IL 60654
Mailing Address
353 North Clark Street Suite #3200, Chicago, IL 60654
Phone number
(312) 836-6700
Established
Delaware since 09/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NYSE GROUP, INC.HOLDING COMPANY
KNIGHT, JOHN CHARLESCHIEF COMPLIANCE OFFICER5187603
THOMASSON, SEAN JOSEPHFINANCIAL AND OPERATIONS PRINCIPAL5124423
TOBIN, BRYAN THOMASSUPERVISORY PRINCIPAL5232664
TURTORO, ROBERT JOHNEXECUTIVE PRINCIPAL2640205

Disclosures

Regulatory Event6

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.

Company Information

ARCHIPELAGO SECURITIES L.L.C.

CRD#: 102500Atlanta, GA 30328

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