Bret P. Mollison
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.
Bret Patrick Mollison, who also goes by Bret Mollison, was a registered financial professional .
Bret is a previously registered financial professional and started their career in finance in 2004. Bret had worked at 6 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
May 24, 2011 - February 2, 2012
ELEVATION, LLC
March 23, 2011 - April 20, 2011
DINOSAUR FINANCIAL GROUP, L.L.C
October 18, 2010 - February 17, 2011
BUCKMAN, BUCKMAN & REID, INC.
February 7, 2008 - October 13, 2008
NEW VERNON SECURITIES, LLC
August 15, 2005 - February 10, 2006
CANTOR FITZGERALD & CO.
January 7, 2004 - August 15, 2005
NEWOAK CAPITAL MARKETS LLC
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
ELEVATION, LLC
CRD#: 140341 / SEC#: , 8-67306
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHEEHAN, PATRICK JAMES | MANAGING MEMBER | 2053134 |
| SARAH TRENT HARRIS IRREVOCABLE FAMILY TRUST | PASSIVE INVESTOR | |
| BARTON ASSET MANAGEMENT, LLC | PASSIVE INVESTOR | |
| CARTER III, WARREN SMOOT | PARTNER | 6751824 |
| HARRIS, MATTHEW CARTER | TRUSTEE | 6178227 |
| LUCAS, CLAIRE TOURNE | PASSIVE INVESTOR | |
| LUCAS, HAINES DEMAREST | PASSIVE INVESTOR | |
| LUCAS, JOSIAH CHARLES TRENT | TRUSTEE | 6178218 |
| PEAK6 INVESTMENTS, L.P. | PASSIVE INVESTOR | |
| PETERSON, KELSEY CARL III | REGISTERED OPTIONS PRINCIPAL | 6684459 |
| SHEEHAN, JOHN MICHAEL BYRNE | PARTNER, CEO | 2272269 |
| SILVER, SCOTT MICHAEL | CHIEF COMPLIANCE OFFICER - CCO | 2290261 |
Disclosures
| Regulatory Event | 7 |
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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