Brett S. Spitalny
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 Steven Spitalny was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1998. Brett had worked at 8 firms and has passed the 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
February 1, 2005 - August 19, 2005
TRADERIGHT SECURITIES, INC.
October 5, 2004 - January 3, 2005
AURA FINANCIAL SERVICES, INC.
August 19, 2004 - October 13, 2004
STONEX SECURITIES INC.
January 14, 2004 - August 11, 2004
LH ROSS & COMPANY, INC.
November 6, 2001 - January 15, 2004
CARDINAL CAPITAL MANAGEMENT, INC.
July 24, 2001 - December 31, 2001
EMERSON BENNETT & ASSOCIATES
April 30, 1998 - July 24, 2001
FIRST LIBERTY INVESTMENT GROUP, INC.
January 16, 1998 - May 1, 1998
BILTMORE SECURITIES, 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
TRADERIGHT SECURITIES, INC.
CRD#: 45598 / SEC#: , 8-51101
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
