Brian H. Brunhaver
Professional summary
Brian Harris Brunhaver was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Brian had worked at 5 firms, which includes PACIFIC WEST SECURITIES INC., PACIFIC WEST FINANCIAL CONSULTANTS INC, BRUNHAVER FINANCIAL SERVICES LLC, LPL FINANCIAL LLC, WOODBURY FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2011 - December 31, 2011
PACIFIC WEST SECURITIES, INC.
August 2, 2011 - December 31, 2011
PACIFIC WEST FINANCIAL CONSULTANTS INC
June 10, 2011 - August 5, 2011
BRUNHAVER FINANCIAL SERVICES, LLC
March 15, 2001 - June 2, 2011
LPL FINANCIAL LLC
May 12, 1995 - June 2, 2011
LPL FINANCIAL LLC
June 20, 1994 - April 20, 1995
WOODBURY FINANCIAL 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
Current Firm
PACIFIC WEST SECURITIES, INC.
CRD#: 6390 / SEC#: , 8-17377
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC WEST FINANCIAL GROUP HOLDING CO. L.L.C. | 100% SHAREHOLDER/HOLDING CO. | |
| FORD, SHANON LANE | DIRECTOR, PRESIDENT | 4151684 |
| FORD, SHANON LANE | SECRETARY/TREASURER | 4151684 |
| MCCLOSKEY, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 325596 |
| PIZELO, PHILIP ANTHONY | DIRECTOR, CEO | 2429418 |
| SIMS, JEFFREY SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 3247374 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 7 |
| Bond | 1 |
Red Flags
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