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BN

Brian R. Nord

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CRD#: 2759032
BN

Professional summary

Brian Robert Nord was barred by both the FINRA and the SEC 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 1996. Prior to being barred, Brian had worked at 1 firm, which includes ACAP FINANCIAL INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 2, 1996 - March 17, 2008

ACAP FINANCIAL INC.

BD
CRD#: 7731
PALATINE, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/8/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/1996
General Securities Representative Examination

Current Firm

AF
ACAP FINANCIAL INC.
ACAP FINANCIAL INC. | PRIVATE CAPITAL MANAGEMENT, INC. | MICHAEL ANDREW SECURITIES, INC. | DOMESTIC INTERNATIONAL CORP. | BIRCHTREE SECURITIES, INC. | ALLIANCE CAPITAL INCORPORATED

CRD#: 7731 / SEC#: , 8-22821

BD
Terminated by SEC on 02/18/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 05/03/1978
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FERGUSON, KIRK LYNNPRESIDENT, CEO, CFO, CCO, CO1307741

Disclosures

Regulatory Event18
Arbitration1

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.

Company Information

ACAP FINANCIAL INC.

CRD#: 7731

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