Brian D. Sun
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 Dingli Sun was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2011 - November 10, 2017
OPTIONSXPRESS, INC.
April 16, 1999 - May 6, 2020
CHARLES SCHWAB & CO., INC.
September 8, 1998 - April 23, 1999
AMERICAL 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
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 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.
