Brian T. Carley
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 Theodore Carley, who also goes by Brian Carley, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 9 firms and has passed the Series 63, SIE 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 15, 2014 - September 14, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
June 1, 2009 - January 31, 2014
MORGAN STANLEY
September 25, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 19, 2006 - August 22, 2007
MORGAN STANLEY DISTRIBUTION, INC.
May 9, 2006 - February 1, 2007
MORGAN STANLEY DW INC.
October 20, 2004 - September 13, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 17, 2003 - October 20, 2004
QUICK & REILLY, INC.
June 5, 2003 - October 15, 2003
UBS FINANCIAL SERVICES INC.
July 28, 1999 - January 24, 2002
EASTBROOK CAPITAL GROUP 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
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
