Brian K. Hardwick
Professional summary
Brian Keith Hardwick 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 professional and started their career in finance in 2002. Prior to being barred, Brian had worked at 3 firms, which includes RED RIVER SECURITIES LLC, SETHI FINANCIAL INVESTMENTS INC., TEXAS SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2009 - February 25, 2014
RED RIVER SECURITIES, LLC
February 23, 2009 - March 19, 2009
SETHI FINANCIAL INVESTMENTS, INC.
November 4, 2002 - March 2, 2007
TEXAS SECURITIES, 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
RED RIVER SECURITIES, LLC
CRD#: 149860 / SEC#: , 8-68198
Contact information
Documents
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
