Brian R. Mann
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 Ray Mann was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1994. Brian had worked at 5 firms and has passed the Series 63, Series 57TO, Series 62, SIE, 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
April 22, 2004 - March 29, 2022
RAINIER SECURITIES, LLC
October 8, 2002 - May 11, 2004
WELLS FARGO INVESTMENT SERVICES, LLC
October 3, 2001 - October 17, 2002
WELLS FARGO SECURITIES, LLC
December 7, 1999 - May 11, 2004
WELLS FARGO INVESTMENTS, LLC
May 16, 1994 - December 16, 1999
HARRIS INVESTORLINE 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 55
Date: 4/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
RAINIER SECURITIES, LLC
CRD#: 130893 / SEC#: , 8-66406
Contact information
Documents
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.
