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Brenda Leigh Colon

CRD# 2956183·Registered 1998 - 2013
Previously Registered: Being a previously registered professional could mean that Brenda 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.

Professional Summary

Brenda Leigh Colon was a registered financial advisor. Brenda was a previously registered financial professional and started their career in finance 1998 - 2013. Brenda had worked at 11 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years registered in the securities industry

Current & Past Employments

Past

WEALTHFORGE SECURITIES, LLCPast·CRD# 152550
BD
Richmond, VA
September 13, 2013 - December 13, 2013
NEWOAK CAPITAL MARKETS LLCPast·CRD# 104063
BD
New York, NY
December 4, 2012 - July 31, 2013
WEALTHFORGE SECURITIES, LLCPast·CRD# 152550
BD
Richmond, VA
May 31, 2012 - November 13, 2012
R. F. LAFFERTY & CO., INC.Past·CRD# 2498
BD
New York, NY
August 27, 2012 - October 12, 2012
BLOOMBERG TRADEBOOK LLCPast·CRD# 40881
BD
New York, NY
June 7, 2011 - March 13, 2012
TRADE INFORMATICS LLCPast·CRD# 143867
BD
New York, NY
March 15, 2011 - April 25, 2011
G-TRADE SERVICES LLCPast·CRD# 140314
BD
New York, NY
May 19, 2008 - October 20, 2010
TRADITION SECURITIES AND DERIVATIVES LLCPast·CRD# 28269
BD
New York, NY
August 16, 2007 - February 27, 2008
ABN AMRO INCORPORATEDPast·CRD# 15776
BD
New York, NY
September 2, 2003 - January 24, 2007
JEFFERIES LLCPast·CRD# 2347
BD
New York, NY
January 2, 2003 - July 21, 2003
CITIGROUP GLOBAL MARKETS INC.Past·CRD# 7059
BD
New York, NY
October 18, 1999 - December 31, 2002
LEHMAN BROTHERS INC.Past·CRD# 7506
BD
New York, NY
February 17, 1998 - October 5, 1999

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Current Firm

WS
WEALTHFORGE SECURITIES, LLC

WEALTHFORGE | WEALTHFORGE, LLC | WEALTHFORGE SECURITIES, LLC

CRD#: 152550 / SEC#: 8-68464
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Contact Information

Main Address

3431 W. Leigh Street Suite B, Richmond, VA 23230

Mailing Address

3431 W. Leigh Street Suite B, Richmond, VA 23230

Phone Number

(804) 308-0431

Established

Virginia since 07/28/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEALTHFORGE HOLDINGS, INC.PARENT—
ARLES, DONNA DIPIETROFINOP6489389
RAPER, JAMES LEROY JRCCO, COO, PFO5721253
ROBBINS, GEORGE WILLIAM IVCEO2440106

Disclosures

Regulatory Event

3

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1999About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 2008

Series 7 — General Securities Representative Examination

Passed Feb 1998About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 2005About the Series 24 exam

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CRS (Client Relationship Summary)

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

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