Brian C. Klein
Professional summary
Brian Craig Klein 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 professional and started their career in finance in 1997. Prior to being barred, Brian had worked at 3 firms, which includes BROOKSTREET SECURITIES CORPORATION, FIRST PROVIDENCE FINANCIAL GROUP LLC, WALSH MANNING SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2001 - December 31, 2006
BROOKSTREET SECURITIES CORPORATION
January 21, 1998 - October 29, 2001
FIRST PROVIDENCE FINANCIAL GROUP, LLC
August 5, 1997 - January 30, 1998
WALSH MANNING SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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