Robert E. Briese
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.
Robert Elliott Briese, who also goes by Robert E Briese, Robert Briese, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2007. Robert had worked at 2 firms and has passed the Series 63, SIE, Series 3 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
July 30, 2012 - June 11, 2015
THE M & A GROUP LLC
November 22, 2007 - August 4, 2010
MCGLADREY CAPITAL MARKETS, 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
THE M & A GROUP LLC
CRD#: 144909 / SEC#: , 8-67684
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SORENSEN, IVAR W. | EXECUTIVE REP/CEO/CCO/AMLCO/FINOP | 5679179 |
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.
