Tom A. Brazill
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.
Tom Andrew Brazill, who also goes by Tom A Brazill, was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 2001. Tom had worked at 6 firms and has passed the Series 65, 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
July 31, 2015 - December 21, 2016
GARDA FINANCIAL
February 12, 2014 - June 29, 2015
GWN SECURITIES INC.
February 11, 2014 - June 29, 2015
GWN SECURITIES INC.
March 4, 2013 - February 12, 2014
HORNOR, TOWNSEND & KENT, LLC
October 12, 2012 - February 12, 2014
HORNOR, TOWNSEND & KENT, LLC
March 18, 2009 - July 25, 2012
MSI FINANCIAL SERVICES, INC.
February 24, 2009 - July 25, 2012
MSI FINANCIAL SERVICES, INC.
March 17, 2003 - November 26, 2008
EQUITABLE ADVISORS, LLC
February 19, 2003 - November 26, 2008
EQUITABLE ADVISORS, LLC
March 16, 2001 - May 2, 2002
MORGAN STANLEY DW 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
GARDA FINANCIAL
CRD#: 170354 / SEC#: 801-79362
Contact information
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.
