Jan L. Brueggemann
Professional summary
Jan Lynn Brueggemann was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jan is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Jan had worked at 4 firms, which includes EMPIRE SECURITIES CORPORATION, CENTAURUS FINANCIAL INC., OSAIC WEALTH INC., LUTHERAN BROTHERHOOD SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2005 - April 13, 2007
EMPIRE SECURITIES CORPORATION
April 6, 2005 - May 12, 2005
CENTAURUS FINANCIAL, INC.
February 25, 1998 - April 11, 2005
OSAIC WEALTH, INC.
March 4, 1996 - February 26, 1998
LUTHERAN BROTHERHOOD SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
EMPIRE SECURITIES CORPORATION
CRD#: 2826 / SEC#: , 8-15305
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARQUE ORION HOLDINGS, LLC | OWNER | |
| NING, MICHAEL CHENG | CHIEF COMPLIANCE OFFICER | 1229733 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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