Bryan K. Dick
Professional summary
Bryan K Dick is a registered financial professional currently at ASL CAPITAL MARKETS INC. located in Stamford, Connecticut.
Bryan is registered as a RR (Registered Representative) and started their career in finance in 2004. Bryan has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bryan K Dick's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2017 - Present
ASL CAPITAL MARKETS INC.
Office #1: 600 Summer Street Suite 402, Stamford, CT 06901April 27, 2017 - June 23, 2017
BUCKLER SECURITIES LLC
December 10, 2010 - January 4, 2016
CRT CAPITAL GROUP LLC
March 11, 2004 - November 10, 2010
NATWEST MARKETS 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
(5/9/2018)
(2/1/2018)
(11/17/2017)
(4/26/2018)
(9/20/2017)
(9/18/2018)
(8/2/2017)
(11/6/2017)
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(1/11/2018)
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(9/14/2017)
(11/20/2017)
(2/1/2018)
(9/28/2017)
(1/22/2018)
(11/28/2017)
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(2/23/2018)
(10/9/2017)
(2/27/2018)
(12/12/2017)
(4/13/2018)
(8/29/2017)
(9/1/2017)
(2/9/2018)
(9/13/2017)
(1/23/2018)
(2/14/2018)
(8/23/2017)
(1/17/2018)
(2/1/2018)
(1/11/2018)
(11/27/2017)
(2/6/2018)
(1/11/2018)
(2/21/2018)
(9/13/2017)
(9/6/2017)
(5/3/2018)
(9/22/2017)
(3/9/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
ASL CAPITAL MARKETS INC.
CRD#: 286115 / SEC#: , 8-69872
Contact information
FINRA licenses (50 States and Territories)
Documents
Red Flags
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