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BG

Brian F. Gimelson

Some features on this profile are disabled
CRD#: 2262474
BG

Professional summary

Brian Frederick Gimelson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Brian had worked at 8 firms, which includes NORTH NASSAU ADVISORS LLC, AURORA CAPITAL LLC, JHS CAPITAL ADVISORS LLC, STERLING FINANCIAL INVESTMENT GROUP INC., SUNPOINT SECURITIES INC., ROUND HILL SECURITIES INC., FIRST ALLIED SECURITIES INC., FIRST AFFILIATED SECURITIES.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 12, 2014 - November 21, 2017

NORTH NASSAU ADVISORS, LLC

BD
CRD#: 143169
Princeton, NJ
Past

March 30, 2007 - June 15, 2012

AURORA CAPITAL LLC

BD
CRD#: 37924
FORT WASHINGTON, PA
Past

September 23, 2005 - February 20, 2007

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
FORT WASHINGTON, PA
Past

February 9, 1999 - September 23, 2005

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

March 19, 1998 - December 17, 1998

SUNPOINT SECURITIES, INC.

BD
CRD#: 25442
LONGVIEW, TX
Past

June 27, 1997 - February 27, 1998

ROUND HILL SECURITIES, INC.

BD
CRD#: 35223
ALAMO, CA
Past

December 15, 1994 - July 25, 1997

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

August 7, 1992 - December 16, 1994

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/5/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/12/1999
General Securities Principal Examination

Current Firm

NN
NORTH NASSAU ADVISORS, LLC
NORTH NASSAU ADVISORS, LLC

CRD#: 143169 / SEC#: , 8-67536

BD
Cancelled by SEC on 06/19/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/09/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
123INVEST CORPOWNER
S.S.O.CAPITAL, INC.OWNER
GIMELSON, BRIAN FREDERICKPRESIDENT/CEO, CHIEF COMPLIANCE OFFICER2262474

Disclosures

Regulatory Event4

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

NORTH NASSAU ADVISORS, LLC

CRD#: 143169

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