Barney Brenner
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.
Barney Brenner was a registered financial professional .
Barney is a previously registered financial professional and started their career in finance in 1976. Barney had worked at 10 firms and has passed the Series 63, Series 7, Series 8, Series 53 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 25, 2001 - September 30, 2014
MUTUAL SECURITIES, INC.
September 9, 1997 - June 25, 2001
RH INVESTMENT CORPORATION
April 25, 1997 - September 5, 1997
SMITH CULVER INVESTMENTS
November 1, 1993 - April 28, 1997
PIPER SANDLER & CO.
May 18, 1988 - November 27, 1993
BANCAL INVESTMENT SERVICES, INC.
October 6, 1986 - February 3, 1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
September 28, 1982 - March 8, 1985
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
March 16, 1979 - October 29, 1982
CALIFORNIA MUNICIPAL INVESTORS, INC.
October 17, 1978 - March 12, 1979
FIRST STATE FINANCIAL, INC.
November 30, 1976 - October 2, 1978
WESTCAP SECURITIES, 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 8
Date: 1/14/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
