Calvin A. Willis
Professional summary
Calvin A Willis Jr., who also goes by Calvin Arould Willis Jr, Calvin Arould Jr Willis, Calvin A Willis, is a registered financial professional currently at BRIGHTON SECURITIES CORP. located in Alburquerque, New Mexico.
Calvin is registered as a RR (Registered Representative) and started their career in finance in 1997. Calvin has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Calvin A Willis Jr.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2020 - Present
BRIGHTON SECURITIES CORP.
May 12, 2017 - October 2, 2020
EK RILEY INVESTMENTS, LLC
January 1, 1997 - May 24, 2017
EDWARD JONES
Primary Firm SEC Registration
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/9/2023)
(10/2/2020)
(11/5/2020)
(10/15/2020)
(10/5/2020)
(11/5/2020)
(11/3/2025)
(10/7/2020)
(10/17/2020)
(5/26/2023)
(10/8/2020)
(10/12/2020)
(10/14/2020)
Exams
FINRA
Current Firm
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,384 |
| AUM (Assets Under Management) | $ 986,154,864 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 03/01/2024 | ||
| 03/20/2023 |
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.
