Brian B. Bristow
Professional summary
Brian Bruce Bristow is a registered financial professional currently at RIDGEBACK SECURITIES, LTD located in Charlotte, North Carolina.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Bruce Bristow's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2025 - Present
RIDGEBACK SECURITIES, LTD
Office #1: 222 South Church Street, Suite 407, Charlotte, NC 28202November 10, 2015 - February 17, 2022
CUNA BROKERAGE SERVICES, INC.
October 27, 2015 - February 17, 2022
CUNA BROKERAGE SERVICES, INC.
September 16, 2009 - July 14, 2015
M HOLDINGS SECURITIES, INC.
September 15, 2009 - July 14, 2015
M HOLDINGS SECURITIES, INC.
August 18, 2005 - July 29, 2009
EQUITY SERVICES, INC.
August 2, 2005 - July 29, 2009
EQUITY SERVICES, INC.
March 28, 2001 - July 27, 2005
SENTINEL FINANCIAL SERVICES COMPANY
February 29, 2000 - November 6, 2001
EQUITY SERVICES, INC.
June 1, 1999 - February 29, 2000
SENTINEL FINANCIAL SERVICES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/3/2025)
(4/9/2025)
Exams
FINRA
Current Firm
RIDGEBACK SECURITIES, LTD
CRD#: 120448 / SEC#: , 8-65298
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE RIDGEBACK GROUP, LLC | LIMITED PARTNER | |
| CAPITAL FINANCIAL GROUP, INC. | LIMITED PARTNER | |
| BRISTOW, BRIAN BRUCE | CHIEF OPERATING OFFICER | 3151921 |
| CONNOLLY, BRENDAN MACKEY | CHIEF COMPLIANCE OFFICER | 4352883 |
| MCSALGP, LLC | GENERAL PARTNER | |
| VANPELT, WILLIAM HENRY IV | PRESIDENT, FINOP, MANAGER, SECRETARY, TREASURER | 1716622 |
Red Flags
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