Stuart I. Brogan
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.
Stuart Ian Brogan, who also goes by Stuart Brogan, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1997. Stuart had worked at 6 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2015 - September 29, 2016
BAYVIEW FINANCIAL PLANNING, LLC
August 7, 2001 - December 11, 2001
IDS LIFE INSURANCE COMPANY
August 7, 2001 - December 11, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
September 1, 1998 - January 24, 2000
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
June 30, 1997 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BAYVIEW FINANCIAL PLANNING, LLC
CRD#: 174768 / SEC#:
Contact information
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.
