Brian Raabe
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 Raabe was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 8 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 87, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2018 - October 13, 2021
SG AMERICAS SECURITIES, LLC
April 28, 2014 - March 12, 2018
CORNERSTONE MACRO LLC
June 10, 2011 - May 8, 2012
ATLANTIC EQUITIES, LLC
September 9, 2010 - June 8, 2011
WEEDEN & CO.L.P.
March 11, 2010 - October 21, 2010
SSR LLC
January 16, 2007 - July 24, 2009
EMPIRICAL RESEARCH PARTNERS LLC
December 7, 2000 - January 8, 2007
SANFORD C. BERNSTEIN & CO., LLC
April 19, 2000 - December 7, 2000
SANFORD C. BERNSTEIN & CO., 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
Series 7TO
Date: 1/3/2024
General Securities Representative ExaminationSeries 99TO
Date: 1/3/2024
Operations Professional ExaminationCurrent Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 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.
