Brian P. Saas
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 Patrick Saas 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 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2010 - July 12, 2017
FFEC WEALTH PARTNERS LLC
March 16, 2010 - July 12, 2017
FFEC WEALTH PARTNERS LLC
June 1, 2009 - March 24, 2010
MORGAN STANLEY
June 1, 2009 - March 24, 2010
MORGAN STANLEY
January 31, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 14, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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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