James M. Philbin
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.
James Michael Philbin, who also goes by James M Philbin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 3 firms and has passed the Series 66 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 12, 2003 - February 21, 2017
BRAVER WEALTH MANAGEMENT, LLC
June 29, 2000 - December 31, 2001
TRUSTED SECURITIES ADVISORS CORP.
February 23, 1999 - December 10, 1999
SIGNATOR INVESTORS, 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
BRAVER WEALTH MANAGEMENT, LLC
CRD#: 104747 / SEC#: 801-26501
Contact information
Documents
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.
