Brian K. Porter
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 K Porter, who also goes by Brian Keith Porter, Brian Keith Patrick Porter, 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 66, Series 63 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
November 19, 2013 - July 21, 2014
WADDELL & REED
November 4, 2013 - July 21, 2014
WADDELL & REED
July 16, 2013 - October 30, 2013
BANCWEST INVESTMENT SERVICES, INC.
June 14, 2013 - October 30, 2013
BANCWEST INVESTMENT SERVICES, INC.
September 19, 2011 - March 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 2011 - March 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2008 - April 20, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2008 - April 20, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 2, 2002 - February 27, 2008
WELLS FARGO INVESTMENTS, LLC
October 12, 2001 - February 27, 2008
WELLS FARGO INVESTMENTS, LLC
March 22, 2000 - November 2, 2001
MML INVESTORS SERVICES, LLC
February 6, 1996 - July 2, 1997
BA INVESTMENT SERVICES, INC.
July 20, 1993 - February 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
