Bryan D. Weisberg
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.
Bryan Douglas Weisberg was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1995. Bryan had worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 56, Series 55, Series 3, Series 7, Series 52, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2014 - January 4, 2023
SIMPLEX TRADING, LLC
November 14, 2011 - August 23, 2012
SIMPLEX TRADING, LLC
January 24, 2003 - May 25, 2005
SPIKE FINANCIAL SERVICES, LLC
July 27, 1999 - February 14, 2001
LEGEND SECURITIES, INC.
December 3, 1997 - January 20, 1999
INVEST FINANCIAL CORPORATION
September 6, 1996 - November 5, 1997
MORGAN STANLEY DW INC.
February 23, 1995 - September 13, 1996
AMERIPRISE ADVISOR 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 11/12/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
SIMPLEX TRADING, LLC
CRD#: 153585 / SEC#: , 8-68556
Contact information
Documents
Direct owners and executive officers
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.
