Brian R. Reid
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 Robertson Reid, who also goes by Brian R Reid, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 10 firms and has passed the Series 63, SIE, Series 79 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
October 16, 2018 - December 23, 2019
SW FINANCIAL
May 10, 2018 - October 18, 2018
EASTGATE SECURITIES, LLC
January 3, 2012 - July 30, 2014
QUAD CAPITAL, LLC
April 13, 2010 - January 5, 2012
CRT CAPITAL GROUP LLC
October 26, 2009 - April 14, 2010
COWEN SECURITIES LLC
January 7, 2008 - April 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2000 - November 21, 2000
CREDIT SUISSE SECURITIES (USA) LLC
October 4, 1999 - November 20, 2000
PERSHING LLC
December 18, 1998 - October 28, 1999
CITIGROUP GLOBAL MARKETS INC.
March 25, 1998 - December 18, 1998
CITICORP 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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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