Brian C. Solomon
Professional summary
Brian Charles Solomon was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Brian had worked at 7 firms, which includes WINDHAM SECURITIES INC., STG SECURE TRADING GROUP INC., CARLIN EQUITIES LLC, FIS BROKERAGE & SECURITIES SERVICES LLC, RUMSON CAPITAL LLC, WESTERN INTERNATIONAL SECURITIES INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2007 - January 2, 2009
WINDHAM SECURITIES, INC.
August 10, 2005 - October 6, 2005
STG SECURE TRADING GROUP, INC.
January 27, 2004 - September 13, 2004
CARLIN EQUITIES, LLC
October 9, 2003 - January 16, 2004
CARLIN EQUITIES, LLC
March 3, 2003 - October 13, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
August 14, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
April 12, 2002 - August 16, 2002
WESTERN INTERNATIONAL SECURITIES, INC.
March 4, 2002 - August 16, 2002
WESTERN INTERNATIONAL SECURITIES, INC.
September 26, 2000 - February 28, 2002
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
WINDHAM SECURITIES, INC.
CRD#: 20529 / SEC#: , 8-38311
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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