Brett A. Schlemovitz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brett Adam Schlemovitz was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 2001. Brett had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2015 - November 7, 2016
CNL SECURITIES CORP.
October 1, 2008 - July 20, 2015
J.P. MORGAN SECURITIES LLC
September 5, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
May 19, 2004 - May 29, 2007
KEEFE, BRUYETTE & WOODS, INC.
November 25, 2003 - May 18, 2004
LORD ABBETT DISTRIBUTOR LLC
January 1, 2001 - February 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CNL SECURITIES CORP.
CRD#: 10356 / SEC#: , 8-26901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CNL FINANCIAL GROUP, INC. | PARENT COMPANY OF CNL SECURITIES CORP. | |
| BOYCE, KATHLEEN ANNE | CHIEF COMPLIANCE OFFICER | 3086688 |
| HELMS, BRACKSTON EDWARD | CO-PRESIDENT | 2730942 |
| MUJA, GZIM | CO-PRESIDENT | 2916434 |
| MUJA, GZIM | NATIONAL SALES DIRECTOR | 2916434 |
| TURNER, TRACY JEANNE | CHIEF FINANCIAL OFFICER, FINOP & TREASURER | 6122300 |
Disclosures
| Regulatory Event | 1 |
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.
