Brian E. Blakey
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 E Blakey, who also goes by Brian Blakey, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 10 firms and has passed the 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
September 10, 2013 - December 31, 2017
TRADINGBLOCK
January 8, 2013 - August 15, 2013
TRIDENT PARTNERS LTD.
September 19, 2012 - January 10, 2013
IBS SECURITIES, LLC
August 1, 2008 - July 25, 2012
RIDGEWAY & CONGER, INC.
April 23, 2008 - July 31, 2008
SOURCE CAPITAL GROUP, INC.
May 4, 2004 - July 21, 2004
RIDGEWAY & CONGER, INC.
August 25, 2003 - November 24, 2003
ICBA SECURITIES
August 25, 2003 - March 17, 2004
VINING-SPARKS IBG, LLC
January 9, 2002 - August 25, 2003
FHN FINANCIAL SECURITIES CORP.
May 24, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
May 24, 2001 - February 13, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
TRADINGBLOCK
CRD#: 128605 / SEC#: , 8-66163
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
