Brent Western
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.
Brent Western, who also goes by Brent James Western, was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 2007. Brent had worked at 11 firms and has passed the Series 66, Series 7TO, Series 82TO, Series 52TO, SIE, Series 7, Series 4, Series 24, Series 53, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2025 - June 30, 2026
PICKWICK CAPITAL PARTNERS, LLC
May 9, 2023 - June 20, 2023
FIRST COMMAND ADVISORY SERVICES
May 8, 2023 - June 20, 2023
FIRST COMMAND BROKERAGE SERVICES, INC.
November 22, 2022 - March 1, 2023
PRE-IPO STREET INC.
June 23, 2022 - March 1, 2023
ROBERTS & RYAN, INC.
June 6, 2022 - February 28, 2023
MADISON AVENUE SECURITIES, LLC
April 5, 2022 - March 1, 2023
CLEARFP SECURITIES, LLC
May 18, 2020 - March 24, 2022
CSENGE ADVISORY GROUP, LLC
January 7, 2020 - March 18, 2022
LION STREET FINANCIAL, LLC
September 8, 2014 - July 5, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 1, 2009 - July 5, 2017
RAYMOND JAMES & ASSOCIATES, INC.
January 5, 2007 - July 5, 2017
RAYMOND JAMES & ASSOCIATES, INC.
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 7TO
Date: 6/17/2025
General Securities Representative ExaminationSeries 82TO
Date: 6/17/2025
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 6/17/2025
Municipal Securities Representative ExaminationCurrent Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
| RISSER, SUZANNE LOUISE | CCO | 1303694 |
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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