Riley Brulotte
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.
Riley Brulotte, who also goes by Jr. Brulotte, Riley James Brulotte, Yvon Pierre Brulotte Jr., was a registered financial professional .
Riley is a previously registered financial professional and started their career in finance in 2007. Riley had worked at 6 firms and has passed the Series 66, Series 99TO, 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
February 23, 2022 - May 4, 2022
SCF SECURITIES, INC.
February 23, 2022 - May 4, 2022
NEXT FINANCIAL GROUP, INC.
February 23, 2022 - May 4, 2022
CADARET, GRANT & CO., INC.
February 23, 2022 - May 9, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
September 13, 2012 - May 4, 2022
SORRENTO PACIFIC FINANCIAL, LLC
September 13, 2012 - May 4, 2022
SORRENTO PACIFIC FINANCIAL, LLC
June 5, 2007 - May 4, 2022
CUSO FINANCIAL SERVICES, L.P.
January 19, 2007 - May 4, 2022
CUSO FINANCIAL SERVICES, L.P.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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