Craig A. Brandwein
Professional summary
Craig Alan Brandwein was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Craig is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Craig had worked at 7 firms, which includes SALOMON GREY FINANCIAL CORPORATION, LH ROSS & COMPANY INC., INTERNATIONAL BOND AND SHARE INC., WEST AMERICA SECURITIES CORP, SMITH BENTON & HUGHES INC., PRESTON LANGLEY ASSET MANAGEMENT INC., RUSSO SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2002 - September 16, 2002
SALOMON GREY FINANCIAL CORPORATION
September 25, 1998 - June 17, 2002
LH ROSS & COMPANY, INC.
November 19, 1997 - July 24, 1998
INTERNATIONAL BOND AND SHARE, INC.
May 8, 1997 - December 10, 1997
WEST AMERICA SECURITIES CORP
September 22, 1995 - May 8, 1997
SMITH, BENTON & HUGHES, INC.
May 8, 1995 - October 10, 1995
PRESTON LANGLEY ASSET MANAGEMENT, INC.
April 15, 1994 - May 5, 1995
RUSSO 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
Current Firm
SALOMON GREY FINANCIAL CORPORATION
CRD#: 43413 / SEC#: , 8-50268
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 5 |
| Financial | 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.
