Brendan J. Whitaker
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.
Brendan J Whitaker was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2009. Brendan had worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2011 - January 8, 2014
RESOURCE SECURITIES LLC
September 22, 2009 - August 24, 2011
NEW ENGLAND SECURITIES
January 16, 2009 - August 24, 2011
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RESOURCE SECURITIES LLC
CRD#: 133022 / SEC#: , 8-66669
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAI VENTURES LLC | SOLE SHAREHOLDER | |
| BLOCK, LAWRENCE STEVEN | PRESIDENT, CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 3006613 |
Red Flags
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