Brian J. Serfass
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 James Serfass was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2015. Brian had worked at 3 firms and has passed the Series 66, 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
December 12, 2018 - May 24, 2019
CHESTERBROOK CAPITAL
September 14, 2015 - August 27, 2018
CAPITAL ONE ADVISORS, LLC
May 1, 2015 - August 27, 2018
CAPITAL ONE INVESTING, LLC
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
Current Firm
CHESTERBROOK CAPITAL
CRD#: 104395 / SEC#: , 8-52857
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAGIS CAPITAL PARTNERS LLC | PARENT | |
| BARTON, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER | 4692910 |
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.
