Brian F. Rauscher
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 Frederick Rauscher, who also goes by Brian F Rauscher, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 8 firms and has passed the Series 63, SIE, Series 16, Series 87 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
January 6, 2020 - July 19, 2023
IRC SECURITIES LLC
April 19, 2012 - August 9, 2019
ROBERT W. BAIRD & CO. INCORPORATED
September 28, 2011 - March 23, 2012
WEDGE SECURITIES, LLC
February 7, 2011 - September 23, 2011
COWEN SECURITIES LLC
April 23, 2004 - August 28, 2009
BROWN BROTHERS HARRIMAN & CO.
August 1, 2003 - May 4, 2004
UST SECURITIES CORP.
December 2, 2002 - January 17, 2003
PALISADE CAPITAL SECURITIES, L.L.C.
October 27, 1997 - November 23, 2001
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
IRC SECURITIES LLC
CRD#: 150022 / SEC#: , 8-68208
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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