Brian C. Theis
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 Christopher Theis was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2004. Brian had worked at 4 firms and has passed the Series 66, Series 63 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
January 30, 2013 - May 31, 2016
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
January 3, 2012 - January 27, 2012
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
January 3, 2012 - January 27, 2012
G.F. INVESTMENT SERVICES, LLC
August 29, 2008 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
August 29, 2008 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
February 7, 2007 - August 5, 2008
EDWARD JONES
August 17, 2004 - August 5, 2008
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
CRD#: 132070 / SEC#: 801-63282
Contact information
Red Flags
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