Brian K. Stickney
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 Keith Stickney, CFP®, who also goes by Brian K Stickney, 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, SIE, Series 7, Series 6, Series 53 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
Start date: 2003
Experience
March 4, 2013 - January 3, 2017
PURSHE KAPLAN STERLING INVESTMENTS
February 20, 2013 - March 29, 2024
IRONRIDGE WEALTH MANAGEMENT, LLC
December 19, 2006 - February 27, 2013
MML INVESTORS SERVICES, LLC
November 8, 2006 - February 27, 2013
MML INVESTORS SERVICES, LLC
March 5, 2003 - December 31, 2004
OSAIC FA, INC.
February 27, 2003 - June 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - September 7, 2006
OSAIC FA, INC.
April 22, 1992 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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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