Brian F. Colburn
Professional summary
Brian Franciskealoha Colburn was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Brian had worked at 5 firms, which includes MAXIM GROUP LLC, THE BUCKINGHAM RESEARCH GROUP INCORPORATED, BREAN MURRAY & CO. INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, AMERIPRISE ADVISOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2015 - September 12, 2019
MAXIM GROUP LLC
August 22, 2001 - November 10, 2014
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
January 14, 1998 - April 9, 2001
BREAN MURRAY & CO., INC.
December 8, 1997 - January 1, 1998
BREAN MURRAY & CO., INC.
May 23, 1996 - November 5, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 1993 - June 5, 1996
AMERIPRISE ADVISOR SERVICES, 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
Series 8
Date: 11/1/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
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.
