Brian P. Mcguane
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 Patrick Mcguane was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1992. Brian had worked at 6 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 1998 - June 1, 1999
AMERICAN INVESTMENT SERVICES, INC.
March 21, 1998 - July 20, 1998
EISNER SECURITIES, INC.
November 22, 1995 - December 31, 1997
BIRCHTREE FINANCIAL SERVICES LLC
January 12, 1995 - November 28, 1995
MID-ATLANTIC SECURITIES, INC.
June 16, 1993 - January 25, 1995
ROBERT THOMAS SECURITIES, INC
January 6, 1992 - April 3, 1992
F.N. WOLF & 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 8
Date: 1/8/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
