Brian Simone
Professional summary
Brian Simone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial advisor and started their career in finance in 2007. Prior to being barred, Brian had worked at 3 firms, which includes SW FINANCIAL, BANC OF AMERICA INVESTMENT SERVICES INC., MORGAN STANLEY & CO. LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2008 - August 15, 2011
SW FINANCIAL
November 24, 2008 - December 22, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 7, 2007 - December 1, 2008
MORGAN STANLEY & CO. LLC
August 8, 2007 - December 1, 2008
MORGAN STANLEY & CO. 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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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