Brian L. Pittman
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.
Brian Lewis Pittman was a registered financial advisor .
Brian is a previously registered financial advisor and started their career in finance in 1997. Brian had worked at 11 firms and has passed the Series 65, Series 63 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
January 24, 2013 - February 6, 2014
SABADELL SECURITIES USA, INC.
October 26, 2012 - February 6, 2014
SABADELL SECURITIES USA, INC.
April 9, 2010 - May 14, 2013
RFO INVESTMENT ADVISORS, LLC
February 18, 2010 - October 4, 2012
WESTPORT RESOURCES MANAGEMENT INC
February 18, 2010 - October 4, 2012
SMH CAPITAL INVESTMENTS LLC
May 14, 2008 - December 9, 2009
BONDS.COM WEALTH MANAGEMENT, LLC
October 5, 2007 - February 16, 2010
BONDS.COM LLC
August 17, 2007 - October 29, 2007
JVB FINANCIAL GROUP, LLC
July 25, 2007 - August 14, 2007
RNA CAPITAL, INC.
March 20, 2006 - July 9, 2007
TRUIST INVESTMENT SERVICES, INC.
March 13, 2006 - July 9, 2007
TRUIST INVESTMENT SERVICES, INC.
March 16, 2004 - February 10, 2006
CITIGROUP GLOBAL MARKETS INC.
November 18, 2003 - February 10, 2006
CITIGROUP GLOBAL MARKETS INC.
December 15, 1997 - November 23, 2001
ROBERT W. BAIRD & CO. 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
SABADELL SECURITIES USA, INC.
CRD#: 148137 / SEC#: 801-71763, 8-67975
Contact information
FINRA licenses (9 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO SABADELL, SA | PARENT | |
| DINAMARCA, RUBEN ANDRES | COO | 6201999 |
| FERNANDEZ, JULIAN VALENTIN | DIRECTOR | 6138371 |
| LABISTE, VIRGINIA | PRESIDENT/ CEO | 5654675 |
| RODRIGUEZ, GLORIA M | CCO | 5179878 |
| SINGER, STEVEN FREDERIC | FINOP/ CFO | 2360737 |
| TORRAS, JORDI | MEMBER OF BOARD OF DIRECTORS | 6547780 |
| VILLOLDO, JORGE PATRICK | DIRECTOR | 4370481 |
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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