Brent R. Bishop
Professional summary
Brent Robert Bishop was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brent is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Brent had worked at 8 firms, which includes CETERA INVESTMENT SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES INC., NATIONSSECURITIES, BOATMEN'S INVESTMENT SERVICES INC., INVEST FINANCIAL CORPORATION, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2009 - September 2, 2010
CETERA INVESTMENT SERVICES LLC
January 7, 2009 - September 2, 2010
CETERA INVESTMENT SERVICES LLC
May 15, 2006 - January 15, 2009
CITIGROUP GLOBAL MARKETS INC.
May 11, 2006 - January 15, 2009
CITIGROUP GLOBAL MARKETS INC.
April 12, 1999 - May 12, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 1999 - May 12, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1998 - April 7, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 13, 1997 - January 1, 1998
NATIONSSECURITIES
June 14, 1996 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
January 15, 1996 - June 18, 1996
INVEST FINANCIAL CORPORATION
June 16, 1993 - January 18, 1996
MORGAN STANLEY DW INC.
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
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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