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Brian T Rail

CRD# 2293877·Registered 1993 - 2020
Previously Registered: Being a previously registered professional could mean that Brian 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.

Professional Summary

Brian T Rail, who also goes by Brian Thomas Rail, Brian Rail, was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 1993 - 2020. Brian had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Brian Thomas Rail, Brian Rail

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

OLIVETREE FINANCIAL, LLC·CRD# 154026
BD
New York, NY
December 8, 2017 - September 22, 2020
KEYBANC CAPITAL MARKETS INC.·CRD# 566
BD
New York, NY
May 4, 2015 - August 21, 2017
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
New York, NY
May 20, 2008 - May 8, 2015
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
January 28, 1993 - May 22, 2008

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Current Firm

OF
OLIVETREE FINANCIAL, LLC

OLIVETREE FINANCIAL, LLC | OLIVETREE USA, LLC

CRD#: 154026 / SEC#: 8-68603
BD
Terminated by SEC on 02/21/2022

Contact Information

Established

Delaware since 12/15/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
OLIVETREE GROUP LIMITEDSHAREHOLDER/ MEMBER—
KUTNER, DARYN MICHAELCEO & CCO5279440
KUTNER, DARYN MICHAELEXECUTIVE CHAIRMAN AND FOUNDER5279440

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 2000

Series 7 — General Securities Representative Examination

Passed Jan 1993About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2001About the Series 24 exam

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CRS (Client Relationship Summary)

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

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