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BS

Brian J. Schuster

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CRD#: 2894479
BS

Professional summary

Brian Jonathon Schuster 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 advisor and started their career in finance in 1997. Prior to being barred, Brian had worked at 4 firms, which includes CAPITAL GROWTH FINANCIAL LLC, WELLS FARGO CLEARING SERVICES LLC, KFS BD INC., UBS FINANCIAL SERVICES 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

October 16, 2003 - March 28, 2006

CAPITAL GROWTH FINANCIAL, LLC

RIA
CRD#: 41040
NEBRASKA CITY, NE
Past

September 13, 2002 - March 28, 2006

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
NEBRASKA CITY, NE
Past

November 30, 2000 - September 19, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEBRASKA CITY, NE
Past

November 30, 2000 - September 19, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 19, 1999 - December 8, 2000

KFS BD, INC.

BD
CRD#: 490
OMAHA, NE
Past

July 18, 1997 - January 29, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
IAR
Series 65
Date: 7/30/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/30/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/2004
General Securities Principal Examination

Current Firm

CG
CAPITAL GROWTH FINANCIAL, LLC
CAPITAL GROWTH FINANCIAL, LLC | INTERNATIONAL CAPITAL GROWTH, LTD., LLC | INTERNATIONAL CAPITAL GROWTH, LTD., | INTERNATIONAL CAPITAL GROWTH, LTD. | INTERNATIONAL CAPITAL GROWTH, LLC | INTERNATIONAL CAPITAL GROWTH LLC | CGF SECURITIES, LLC

CRD#: 41040 / SEC#: , 8-49268

BD
Terminated by SEC on 04/11/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 02/23/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL GROWTH FINANCIAL, LTD.100% OWNER
FALKEN, MICHAEL BARRYCHIEF COMPLIANCE OFFICER862958
JACOBS, ALAN LAWRENCECHAIRMAN & CEO1032488
JACOBS, MICHAEL SCOTTPRESIDENT & FINOP1818665

Disclosures

Regulatory Event12
Arbitration8

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CAPITAL GROWTH FINANCIAL, LLC

CRD#: 41040

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