Brian A. Uhlmer
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 Anthony Uhlmer was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2008. Brian had worked at 3 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2015 - September 14, 2016
INTL FCSTONE CREDIT TRADING LLC
October 8, 2010 - March 26, 2014
GLOBAL HUNTER SECURITIES, LLC
January 7, 2008 - October 4, 2010
PRITCHARD CAPITAL PARTNERS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INTL FCSTONE CREDIT TRADING LLC
CRD#: 41025 / SEC#: , 8-49291
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
