Brigham D. Coombs
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.
Brigham Daniel Coombs was a registered financial professional .
Brigham is a previously registered financial professional and started their career in finance in 1995. Brigham had worked at 5 firms and has passed the Series 63, Series 7 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
March 4, 1999 - July 28, 1999
MORGENTHAU & ASSOCIATES, INC.
January 8, 1998 - March 31, 1998
TRADE.COM ONLINE SECURITIES, INC.
May 28, 1997 - December 21, 1997
J.W. BARCLAY & CO., INC.
January 18, 1996 - April 22, 1997
NORTHEAST SECURITIES, LLC
September 25, 1995 - October 24, 1995
NICHOLS, SAFINA, LERNER & CO. 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
MORGENTHAU & ASSOCIATES, INC.
CRD#: 6586 / SEC#: , 8-17747
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGENTHAU, ANTHONY REGINALD | DIRECTOR/ CEO / TREAS./CHIEF COMPLIANCE OFFICER | 340142 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
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.
