Brian D. Overby
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 Dennis Overby was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1993. Brian had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 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
January 27, 2006 - May 8, 2023
ALLY INVEST SECURITIES LLC
September 30, 2003 - April 7, 2004
BROKERSXPRESS LLC
August 5, 2002 - March 31, 2004
OPTIONSXPRESS, INC.
May 29, 2001 - March 1, 2002
KNIGHT CAPITAL AMERICAS, L.P.
July 12, 1993 - September 12, 1997
CHARLES SCHWAB & CO., INC.
May 19, 1993 - July 6, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 19, 1993 - July 6, 1993
OSAIC FA, INC.
January 5, 1993 - April 17, 1993
EMANUEL AND COMPANY
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: 1/26/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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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