KB
Kurt D. Brockman
COREBRIDGE CAPITAL SERVICES
Houston, TX 77019
Some features on this profile are disabled
CRD#: 4905377
KB
Professional summary
Kurt Douglas Brockman is a registered financial professional currently at COREBRIDGE CAPITAL SERVICES, INC. located in Houston, Texas.
Kurt is registered as a RR (Registered Representative) and started their career in finance in 2005. Kurt has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Kurt Douglas Brockman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 14, 2020 - Present
COREBRIDGE CAPITAL SERVICES, INC.
Office #1: 2929 Allen Parkway, Houston, TX 77019BD
CRD#: 13158
Houston, TX
Past
October 16, 2008 - July 16, 2020
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
January 29, 2008 - October 10, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
PARKER, CO
Past
November 10, 2005 - October 10, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PARKER, CO
Past
April 13, 2005 - November 14, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/16/2020)
RR
Alaska(7/17/2020)
RR
Arizona(8/19/2020)
RR
Arkansas(7/17/2020)
RR
California(7/15/2020)
RR
Colorado(7/14/2020)
RR
Connecticut(7/16/2020)
RR
Delaware(7/20/2020)
RR
District of Columbia(8/24/2020)
RR
Florida(9/2/2020)
RR
Georgia(8/21/2020)
RR
Hawaii(8/20/2020)
RR
Idaho(8/18/2020)
RR
Illinois(9/1/2020)
RR
Indiana(7/27/2020)
RR
Iowa(7/16/2020)
RR
Kansas(7/21/2020)
RR
Kentucky(7/22/2020)
RR
Louisiana(8/10/2020)
RR
Maine(7/17/2020)
RR
Maryland(7/15/2020)
RR
Massachusetts(7/15/2020)
RR
Michigan(7/16/2020)
RR
Minnesota(7/21/2020)
RR
Mississippi(7/20/2020)
RR
Missouri(7/14/2020)
RR
Montana(7/14/2020)
RR
Nebraska(7/16/2020)
RR
Nevada(7/29/2020)
RR
New Hampshire(7/30/2020)
RR
New Jersey(8/21/2020)
RR
New Mexico(7/24/2020)
RR
New York(8/20/2020)
RR
North Carolina(7/15/2020)
RR
North Dakota(7/20/2020)
RR
Ohio(7/15/2020)
RR
Oklahoma(7/16/2020)
RR
Oregon(7/16/2020)
RR
Pennsylvania(7/16/2020)
RR
Puerto Rico(7/17/2020)
RR
Rhode Island(7/14/2020)
RR
South Carolina(7/17/2020)
RR
South Dakota(8/18/2020)
RR
Tennessee(8/18/2020)
RR
Texas(7/23/2020)
RR
Utah(7/16/2020)
RR
Vermont(7/15/2020)
RR
Virginia(8/20/2020)
RR
Washington(7/20/2020)
RR
West Virginia(8/20/2020)
RR
Wisconsin(7/16/2020)
RR
Wyoming(7/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CC
COREBRIDGE CAPITAL SERVICES, INC.
AIG CAPITAL SERVICES, INC. | SUNAMERICA CAPITAL SERVICES, INC. | INTEGRATED RESOURCES CAPITAL SERVICES, INC. | INTEGRATED CAPITAL SERVICES, INC. | COREBRIDGE CAPITAL SERVICES, INC. | AIG SUNAMERICA CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Phone number
(201) 324-6300
Established
Delaware since 11/05/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
