Brian L. Crawley
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 Lee Crawley was a registered financial advisor .
Brian is a previously registered financial advisor and started their career in finance in 2000. Brian had worked at 8 firms and has passed the Series 66, Series 63 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
September 9, 2004 - August 12, 2005
WESTROCK ADVISORS, INC.
December 19, 2003 - October 5, 2004
NATIONAL SECURITIES CORPORATION
December 3, 2003 - January 2, 2004
JOSEPH STEVENS & CO., INC.
February 27, 2003 - January 21, 2004
GUNNALLEN FINANCIAL, INC
June 14, 2002 - November 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2002 - November 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 2001 - March 15, 2002
HARRISON SECURITIES, INC.
November 15, 2001 - December 6, 2001
CONTINENTAL BROKER-DEALER CORP.
August 25, 2000 - October 17, 2001
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
WESTROCK ADVISORS, INC.
CRD#: 114338 / SEC#: , 8-53419
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
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.
