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BG

Brian L. Gilroy

Some features on this profile are disabled
CRD#: 3077211
BG

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 Lee Gilroy 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, Series 7, Series 28 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 9, 2002 - October 29, 2012

DBA THE DELTA COMPANY

BD
CRD#: 120187
SAN ANTONIO, TX
Past

July 27, 1998 - March 25, 2002

THE CHAMPION GROUP, INC.

BD
CRD#: 23418
SHAVANO PARK, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/19/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 5/17/2002
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 4/26/2002
Direct Participation Programs Principal Examination

Current Firm

DT
DBA THE DELTA COMPANY
DBA THE DELTA COMPANY | THE SONTERRA GROUP, INC.

CRD#: 120187 / SEC#: , 8-65266

BD
Terminated by SEC on 05/30/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/17/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HOLMES, ANTHONY EDWARDPRESIDENT/SECRETARY/CCO1047911
BREARD, KEVIN GRAMFINOP4701414

Disclosures

Arbitration1

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.

Company Information

DBA THE DELTA COMPANY

CRD#: 120187

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