Dominic M. Brault
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.
Dominic Martin Brault, who also goes by Dom Brault, was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 2002. Dominic had worked at 5 firms and has passed the Series 63, SIE, Series 79 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
July 11, 2017 - September 11, 2018
CARLETON MCKENNA ADVISORS, LLC
March 18, 2015 - July 13, 2015
CARLETON MCKENNA ADVISORS, LLC
August 29, 2012 - March 24, 2015
FINANCIAL AMERICA SECURITIES, INC.
May 18, 2004 - June 15, 2005
AMERICA NORTHCOAST SECURITIES, INC.
October 21, 2002 - February 27, 2003
FTN EQUITY CAPITAL MARKETS CORP.
October 4, 2002 - October 21, 2002
FHN FINANCIAL SECURITIES CORP.
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
CARLETON MCKENNA ADVISORS, LLC
CRD#: 159230 / SEC#: , 8-68971
Contact information
FINRA licenses (6 States and Territories)
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.
