Brian S. Rauch
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 Sandy Rauch was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. 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
August 28, 2013 - February 16, 2016
AVENIR FINANCIAL GROUP
December 14, 2011 - August 26, 2013
ROCKWELL GLOBAL CAPITAL LLC
December 6, 2010 - April 11, 2011
ROCKWELL GLOBAL CAPITAL LLC
June 18, 2010 - December 6, 2010
CHARLES VISTA LLC
July 8, 2009 - July 20, 2010
OBSIDIAN FINANCIAL GROUP, LLC
May 11, 2005 - June 27, 2009
NATIONAL SECURITIES CORPORATION
February 5, 2004 - June 2, 2005
GUNNALLEN FINANCIAL, INC
November 4, 2002 - February 5, 2004
J.P. TURNER & COMPANY, L.L.C.
December 21, 2001 - November 11, 2002
EKN FINANCIAL SERVICES INC.
October 22, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
June 26, 2000 - October 22, 2001
WEATHERLY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AVENIR FINANCIAL GROUP
CRD#: 148490 / SEC#: , 8-68031
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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