Brian R. Klotz
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 Randall Klotz, who also goes by Brian R Klotz, Brian Randall Klotz, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2020 - May 20, 2022
CHELSEA FINANCIAL SERVICES
February 9, 2015 - November 27, 2018
WORLD EQUITY GROUP, INC.
May 7, 2014 - February 26, 2015
HALEN CAPITAL
November 2, 2012 - May 12, 2014
ADVISORS ASSET MANAGEMENT, INC.
September 28, 2012 - May 12, 2014
ADVISORS ASSET MANAGEMENT, INC.
November 11, 2009 - January 6, 2011
LAIDLAW & COMPANY (UK) LTD.
June 3, 2009 - November 10, 2009
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
June 2, 2009 - November 10, 2009
NEWEDGE SECURITIES, LLC
November 19, 2008 - April 8, 2009
CONTINENTAL INVESTORS SERVICES, INC.
October 25, 2004 - July 19, 2005
ADVISORS ASSET MANAGEMENT, INC.
April 15, 2003 - July 19, 2005
ADVISORS ASSET MANAGEMENT, INC.
November 19, 2001 - January 30, 2003
UBS FINANCIAL SERVICES INC.
October 19, 2001 - January 30, 2003
UBS FINANCIAL 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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