Brian J. Simmons
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 Joseph Simmons, CFP® was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2003. Brian had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2020 - December 22, 2022
GARY GOLDBERG & CO., LLC
July 10, 2018 - June 5, 2020
TRIAD ADVISORS LLC
October 15, 2004 - December 31, 2017
CANTERBURY WEALTH ADVISORS, LLC
October 13, 2004 - June 5, 2020
TRIAD ADVISORS LLC
July 7, 2004 - October 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2004 - October 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2003 - June 4, 2004
TRIAD ADVISORS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GARY GOLDBERG & CO., LLC
CRD#: 47957 / SEC#: , 8-51974
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
