Brian A. Carswell
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 Alexander Carswell, who also goes by Brian A Carswell, Brian Carswell, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1995. Brian had worked at 9 firms and has passed the Series 63, SIE, Series 25, Series 55 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
May 20, 2016 - June 1, 2020
STATE FARM VP MANAGEMENT CORP.
October 1, 2013 - January 5, 2016
J.P. MORGAN SECURITIES LLC
May 15, 2012 - December 14, 2012
COWEN SECURITIES LLC
February 20, 2007 - April 25, 2012
WEEDEN & CO.L.P.
April 27, 2006 - February 23, 2007
J.P. MORGAN SECURITIES LLC
February 22, 2005 - April 28, 2006
INSTITUTIONAL DIRECT INC.
June 16, 2003 - February 7, 2005
THE GRISWOLD COMPANY, INCORPORATED
June 30, 1999 - June 16, 2003
LEHMAN BROTHERS INC.
December 15, 1997 - June 14, 1999
WSM HOLDINGS, L.L.C.
October 17, 1995 - December 8, 1997
TULLETT & TOKYO SECURITIES, 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 25
Date: 8/25/2005
NYSE Trading Assistant ExaminationSeries 55
Date: 2/21/2001
Limited Representative-Equity Trader ExamCurrent Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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.
