Gene H. Burns
Professional summary
Gene Howard Burns was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gene Howard Burns, who also goes by Eugene Burns, was a registered financial advisor .
Gene is a previously registered financial advisor and started their career in finance in 1995. Gene had worked at 4 firms and has passed the Series 65, Series 63 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
January 12, 2010 - August 12, 2010
NPB FINANCIAL GROUP, LLC
January 11, 2010 - August 12, 2010
NPB FINANCIAL GROUP, LLC
July 1, 2003 - December 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 10, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 4, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 17, 1995 - October 10, 2000
CITIGROUP GLOBAL MARKETS 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
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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