Brian Schlosser
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 Schlosser, who also goes by Brian M Schlosser, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2006. Brian had worked at 4 firms and has passed the Series 63, SIE, Series 3, 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
June 10, 2024 - October 22, 2025
JB DRAX HONORE' INC.
May 10, 2019 - May 17, 2022
BOFA SECURITIES, INC.
August 10, 2011 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 9, 2006 - August 4, 2011
CITIGROUP GLOBAL MARKETS 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
Current Firm
JB DRAX HONORE' INC.
CRD#: 322118 / SEC#: , 8-70950
Contact information
FINRA licenses (11 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JB DRAX HONORE UK LTD. | SOLE SHAREHOLDER | |
| GLASSBERG, JONATHAN WILLIAM | DIRECTOR | 5655925 |
| LEHRKINDER, THOMAS | CHIEF OPERATING OFFICER | 1384951 |
| MCBRIDE, TERENCE GERARD | CHIEF COMPLIANCE OFFICER AND CHIEF EXECUTIVE OFFICER | 3169515 |
| OBSBAUM, FREDRIC MICHAEL | FINANCIAL OPERATIONS PRINCIPAL | 1160811 |
| SHEPHERD, BENN | DIRECTOR | 4030489 |
Disclosures
| Regulatory Event | 3 |
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.
