Brian R. Duering
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 R Duering, who also goes by Brian Richard Duering, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2006. Brian had worked at 3 firms and has passed the Series 66, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2009 - March 7, 2013
TD AMERITRADE CLEARING, INC.
August 3, 2006 - March 30, 2007
TD AMERITRADE, INC.
May 16, 2006 - June 28, 2006
WADDELL & REED
April 27, 2006 - June 28, 2006
WADDELL & REED
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
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
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.
