Brian A. Fay
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 Ashley Fay, who also goes by Ashley (brian) Fay, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 55, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2017 - May 2, 2018
LEK SECURITIES CORPORATION
August 11, 2016 - May 22, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
April 1, 2013 - March 5, 2015
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP.
December 2, 2009 - April 21, 2011
TIGER SECURITIES, LLC
April 29, 2009 - May 22, 2009
HB SECURITIES, LLC
June 17, 2008 - August 14, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 2008 - August 14, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
June 14, 2007 - March 3, 2008
OBEX SECURITIES LLC
March 3, 2003 - March 10, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
August 19, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
March 22, 2001 - February 13, 2002
ELECTRONIC TRADING GROUP, LLC
June 22, 1999 - May 2, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 5/10/2001
Limited Representative-Equity Trader ExamCurrent Firm
LEK SECURITIES CORPORATION
CRD#: 33135 / SEC#: , 8-42152
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 42 |
| Civil Event | 1 |
| 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.
