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Brian F. Lynch

Some features on this profile are disabled
CRD#: 4660088
BL

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 Francis Lynch was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2003. Brian had worked at 10 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 21, 2014 - August 11, 2014

ATEL SECURITIES CORPORATION

BD
CRD#: 17229
SAN FRANCISCO, CA
Past

August 31, 2009 - May 15, 2013

TNP SECURITIES, LLC

BD
CRD#: 149178
COSTA MESA, CA
Past

January 2, 2009 - August 25, 2009

CABIN SECURITIES, INC.

BD
CRD#: 137608
WALNUT CREEK, CA
Past

October 16, 2008 - December 31, 2008

WILSON-DAVIS & CO., INC.

BD
CRD#: 3777
SALT LAKE CITY, UT
Past

June 29, 2006 - August 19, 2008

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

October 18, 2005 - April 4, 2006

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
SAN FRANCISCO, CA
Past

May 16, 2005 - September 26, 2005

KELMOORE INVESTMENT COMPANY, INC.

RIA
CRD#: 22509
PALO ALTO, CA
Past

January 5, 2004 - September 26, 2005

KELMOORE INVESTMENT COMPANY, INC.

BD
CRD#: 22509
PALO ALTO, CA
Past

November 7, 2003 - January 7, 2004

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
LAFAYETTE, CA
Past

October 10, 2003 - January 7, 2004

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

October 10, 2003 - January 7, 2004

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

May 21, 2003 - July 10, 2003

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/11/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/2003
General Securities Representative Examination

Current Firm

AS
ATEL SECURITIES CORPORATION
ATEL SECURITIES CORPORATION | CHARLES B. TOEPFER

CRD#: 17229 / SEC#: , 8-35271

BD
Terminated by SEC on 02/22/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 11/26/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ATEL FINANCIAL SERVICES, LLCPARENT COMPANY
CASH, DEAN LEONPRESIDENT & CEO1449943
CHENG, SHERMAN SIU LUNFINOP-INTERIM2978442
WADDELL, ANDREW CLELANDCCO AND FINOP-INTERNAL3234944

Disclosures

Regulatory Event4

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.

Company Information

ATEL SECURITIES CORPORATION

CRD#: 17229

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