Brian D. Flanagan
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 Davern Flanagan, who also goes by Brian D Flanagan, Brian D. Flanagan, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2002. Brian had worked at 10 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
December 17, 2019 - February 7, 2025
VISION 4 FUND DISTRIBUTORS
January 5, 2016 - July 31, 2018
FORESIDE FUND SERVICES, LLC
October 1, 2015 - January 12, 2016
TRIAD ADVISORS LLC
March 7, 2013 - October 9, 2013
NEWPORT GROUP SECURITIES, INC.
January 24, 2011 - January 3, 2013
FIDELITY DISTRIBUTORS COMPANY LLC
May 3, 2005 - October 1, 2010
WADDELL & REED
May 3, 2005 - October 1, 2010
IVY DISTRIBUTORS, INC.
November 22, 2002 - March 22, 2005
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 18, 2002 - June 28, 2002
IDS LIFE INSURANCE COMPANY
March 18, 2002 - June 28, 2002
AMERIPRISE FINANCIAL SERVICES, 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
VISION 4 FUND DISTRIBUTORS
CRD#: 298105 / SEC#: , 8-70175
Contact information
FINRA licenses (27 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARD, DAVID WAYNE | MANAGING DIRECTOR | 722647 |
| JOHNSON, HENRY P | MANAGING DIRECTOR | 5559118 |
| KUJALOWICZ, PAUL EDWARD | PRESIDENT/MANAGING DIRECTOR | 1020049 |
| SULLIVAN, CORNELIUS JOSEPH | MANAGING DIRECTOR | 2094448 |
| VAINISI, JEROME ARTHUR | CHIEF EXECUTIVE OFFICER | 2011056 |
| FOSTER, TODD MICHAEL | PASSIVE MEMBER | 3024634 |
| GREER, JOHN WILLIAM | PASSIVE MEMBER | 6148298 |
| LEE, BRYAN MATTHEW | PASSIVE MEMBER | 4779819 |
| QUALTERS, DONALD P | PASSIVE MEMBER | 3184519 |
| DAVIS, TAYLOR RENEE | CHIEF COMPLIANCE OFFICER | 5384424 |
| PORTWOOD, WILLIAM BOYCE | CHIEF FINANCIAL OFFICER/FINOP/PFO/POO | 4853700 |
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.
