Brian C. Mauger
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 Christopher Mauger was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2007. Brian had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2013 - March 2, 2015
CNL SECURITIES CORP.
September 5, 2012 - February 13, 2013
CHARLES SCHWAB & CO., INC.
July 22, 2011 - February 13, 2013
CHARLES SCHWAB & CO., INC.
April 27, 2011 - May 20, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
April 18, 2011 - May 20, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 2007 - April 27, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 16, 2007 - April 27, 2009
AMERIPRISE FINANCIAL SERVICES, 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
CNL SECURITIES CORP.
CRD#: 10356 / SEC#: , 8-26901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CNL FINANCIAL GROUP, INC. | PARENT COMPANY OF CNL SECURITIES CORP. | |
| BOYCE, KATHLEEN ANNE | CHIEF COMPLIANCE OFFICER | 3086688 |
| HELMS, BRACKSTON EDWARD | CO-PRESIDENT | 2730942 |
| MUJA, GZIM | CO-PRESIDENT | 2916434 |
| MUJA, GZIM | NATIONAL SALES DIRECTOR | 2916434 |
| TURNER, TRACY JEANNE | CHIEF FINANCIAL OFFICER, FINOP & TREASURER | 6122300 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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