Brian L. Raines
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 Lawrence Raines, who also goes by Brian L Raines, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 2 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2001 - December 31, 2001
CHRISTOPHER STREET FINANCIAL, INC.
January 16, 1998 - February 1, 2000
VERAVEST INVESTMENTS, 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
CHRISTOPHER STREET FINANCIAL, INC.
CRD#: 10250 / SEC#: , 8-26705
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEWALL FINANCIAL SERVICES LLC | OWNER | |
| BILLHEIMER, ABLE DAVID | ASSISTANT TREASURER | 2968724 |
| GOURLEY, RICHARD ALLISON JR | VICE PRESIDENT, GSP, MP | 865337 |
| HATCH, JENNIFER AUSTIN | VP, SECRETARY, GSP, DIRECTOR | 1958077 |
| JOHNS, KERMIT | PRESIDENT, GSP, DIRECTOR, FINOP | 2949339 |
| LEE, PAIWEI | ASSISTANT TREASURER | 3079502 |
| SMITH, SUSANNE AUGUSTA | DIRECTOR | 2312329 |
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.
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