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Brian Tunstall

CRD# 5439971·Registered 2009 - 2014
Previously Registered: Being a previously registered professional could mean that Brian 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.

Professional Summary

Brian Tunstall was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 2009 - 2014. Brian had worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

17 years in the financial services industry

Current & Past Employments

APB FINANCIAL GROUP, LLC·CRD# 38235
BD
New York, NY
July 31, 2012 - March 27, 2014
MORGAN STANLEY·CRD# 149777
BD
New York, NY
January 25, 2010 - June 29, 2012
UBS INTERNATIONAL INC.·CRD# 107726
BD
New York, NY
July 22, 2009 - December 2, 2009

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Current Firm

AF
APB FINANCIAL GROUP, LLC

ABERNATHY PERFORMANCE BROKERAGE, INC. | THE ABERNATHY TECHNOLOGY RESEARCH INSTITUTE, INC. | N/A | BRISTOL CAPITAL, CORP. | APB FINANICIAL GROUP, INC. | APB FINANCIAL GROUP, LLC | APB FINANCIAL GROUP, INC. | APB FINANCIAL GROUP, INC | APB FINANCIAL GROUP LLC | APB FINANCIAL GROUP INC | ABERNATHY, LEET INSTITUTE OF FINANCIAL RESEARCH INC. | ABERNATHY, LEET INSTITUE OF FINANCIAL RESEARCH CORP.

CRD#: 38235 / SEC#: 8-48144
BD
Terminated by SEC on 04/22/2017

Contact Information

Established

Delaware since 06/09/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ABERNATHY, STEVEN HOLTMEMBER, GSP, CEO1276378
COYLE, EDWARD FRANCISGSP, CCO1257412
KIRSCHENBLATT, CHAD ETHANFIN OP2503352
LEMOINE, DEBRA ANNCORPORATE SECRETARY1390321

Disclosures

Regulatory Event

2

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2013About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2019About the SIE exam

Series 3 — National Commodity Futures Examination

Passed May 2016About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jul 2009About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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