Brian J. Panfil
Professional summary
Brian Joseph Panfil was barred by the FINRA 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 2002. Prior to being barred, Brian had worked at 10 firms, which includes PAULSON INVESTMENT COMPANY LLC, KINGSBURY CAPITAL INC., ISC ADVISORS INC., INSTITUTIONAL SECURITIES CORPORATION, RIDGEWAY CONGER ADVISORY SERVICES, RIDGEWAY & CONGER INC., CALDWELL INTERNATIONAL SECURITIES, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, AMERICAN CENTURY INVESTMENT SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2015 - November 24, 2015
PAULSON INVESTMENT COMPANY LLC
June 22, 2015 - August 12, 2015
KINGSBURY CAPITAL, INC.
April 7, 2015 - June 1, 2015
ISC ADVISORS, INC.
March 25, 2015 - June 1, 2015
INSTITUTIONAL SECURITIES CORPORATION
October 23, 2013 - December 31, 2014
RIDGEWAY CONGER ADVISORY SERVICES
October 23, 2013 - April 14, 2015
RIDGEWAY & CONGER, INC.
April 13, 2006 - September 27, 2013
CALDWELL INTERNATIONAL SECURITIES
March 3, 2006 - September 27, 2013
CALDWELL INTERNATIONAL SECURITIES
August 18, 2003 - March 16, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 24, 2003 - March 16, 2006
IDS LIFE INSURANCE COMPANY
July 24, 2003 - March 16, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 25, 2002 - April 21, 2003
AMERICAN CENTURY INVESTMENT SERVICES 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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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