Brian A. Cespedes
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 Aaron Cespedes, who also goes by Brian Cespedes, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2004. Brian had worked at 6 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
April 14, 2017 - December 11, 2017
J.H. DARBIE & CO., INC.
August 8, 2013 - November 18, 2014
NEWPORT COAST SECURITIES, INC.
January 19, 2010 - February 21, 2012
J.H. DARBIE & CO., INC.
March 9, 2009 - July 14, 2009
GLOBAL ARENA CAPITAL CORP
March 15, 2006 - March 10, 2009
AVALON PARTNERS, INC.
August 8, 2005 - March 15, 2006
FIRST HUDSON FINANCIAL GROUP, INC.
February 11, 2004 - August 12, 2005
EKN 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
Current Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
