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BB

Brian B. Bartsch

Some features on this profile are disabled
CRD#: 4308403
BB

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 B Bartsch, who also goes by Brian Bradford Bartsch, Brian Bartsch, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 5 firms and has passed the Series 21, Series 25 and Series 14A exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Bradford Bartsch | Brian Bartsch

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 26, 2014 - October 26, 2017

VIRTU FINANCIAL CAPITAL MARKETS LLC

BD
CRD#: 45986
NEW YORK, NY
Past

February 22, 2011 - March 27, 2014

BRENDAN E. CRYAN AND COMPANY, L.L.C.

BD
CRD#: 33496
NEW YORK, NY
Past

July 9, 2007 - February 9, 2010

COHEN CAPITAL GROUP, LLC

BD
CRD#: 43418
NEW YORK, NY
Past

March 16, 2001 - April 9, 2007

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY
Past

October 1, 2000 - March 16, 2001

ROBB PECK MCCOOEY SPECIALIST CORPORATION

BD
CRD#: 32660
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 21
Date: 5/16/2000
NYSE Front Line Specialist Clerk
General Industry/Product Exam
RR
Series 25
Date: 10/19/1999
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 14A
Date: 10/20/2011
Compliance Official Specialist Exam

Current Firm

VF
VIRTU FINANCIAL CAPITAL MARKETS LLC
EWT, LLC | VIRTU FINANCIAL CAPITAL MARKETS LLC | PIONEER FUTURES, INC. | PIONEER CAPITAL CORP.

CRD#: 45986 / SEC#: , 8-51262

BD
Terminated by SEC on 03/02/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/28/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VIRTU FINANCIAL OPERATING LLCDIRECT PARENT COMPANY/MANAGING MEMBER
CAVOLI, STEPHEN JOHNCEO4468202
ITSKOVICH, ALEX PETERFINOP2901437
MILLER, JUSTIN WADECHIEF COMPLIANCE OFFICER6418036
RUPPRECHT, NICHOLAS ANDREWPRINCIPAL OPERATIONS OFFICER5790389

Disclosures

Regulatory Event14

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.

Company Information

VIRTU FINANCIAL CAPITAL MARKETS LLC

CRD#: 45986

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