Brett W. Rainey
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.
Brett Walker Rainey was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1994. Brett had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2022 - December 31, 2022
PORTSMOUTH FINANCIAL SERVICES
November 20, 2019 - January 19, 2022
FIRST DALLAS SECURITIES INCORPORATED
November 8, 2001 - October 14, 2004
MFS FUND DISTRIBUTORS, INC.
December 10, 1996 - January 19, 2000
OSAIC FS, INC.
May 6, 1996 - December 5, 1996
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
January 21, 1994 - April 19, 1996
DEAM INVESTOR 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 7TO
Date: 11/20/2019
General Securities Representative ExaminationCurrent Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
