Brian F. Ferraioli
Professional summary
Brian Frederick Ferraioli 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 14 firms, which includes BROOKSTREET SECURITIES CORPORATION, AURA FINANCIAL SERVICES INC., J.P. TURNER & COMPANY L.L.C., GUNNALLEN FINANCIAL INC, GIT SECURITIES CORPORATION, BERRY-SHINO SECURITIES INC., JOSEPH STEVENS & CO. INC., WHITEHALL WELLINGTON INVESTMENTS INC., CAMBRIDGE CAPITAL LLC, BARRON CHASE SECURITIES INC., GLOBAL CAPITAL MARKETS LLC, SCHNEIDER SECURITIES INC., TAYLOR STUART FINANCIAL INC., LEGEND MERCHANT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2005 - December 7, 2005
BROOKSTREET SECURITIES CORPORATION
November 12, 2004 - March 23, 2005
AURA FINANCIAL SERVICES, INC.
May 12, 2003 - September 23, 2004
J.P. TURNER & COMPANY, L.L.C.
April 15, 2003 - June 5, 2003
GUNNALLEN FINANCIAL, INC
September 20, 2001 - March 12, 2003
GIT SECURITIES CORPORATION
July 10, 2001 - October 19, 2001
BERRY-SHINO SECURITIES, INC.
October 31, 2000 - July 18, 2001
JOSEPH STEVENS & CO., INC.
June 5, 2000 - November 3, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
February 28, 2000 - June 27, 2000
CAMBRIDGE CAPITAL, LLC
March 22, 1999 - March 14, 2000
BARRON CHASE SECURITIES, INC.
November 19, 1997 - March 9, 1998
GLOBAL CAPITAL MARKETS, LLC
August 4, 1997 - November 6, 1997
SCHNEIDER SECURITIES, INC.
July 21, 1997 - July 29, 1997
TAYLOR STUART FINANCIAL, INC.
July 8, 1997 - July 28, 1997
LEGEND MERCHANT GROUP, 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
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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