Brandon A. Cleland
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.
Brandon Austin Cleland was a registered financial professional .
Brandon is a previously registered financial professional and started their career in finance in 2011. Brandon had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, 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 24, 2014 - February 2, 2021
TD AMERITRADE, INC.
September 24, 2014 - February 2, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 24, 2014 - February 2, 2021
TD AMERITRADE, INC.
September 10, 2013 - August 29, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 25, 2011 - August 29, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 10/30/2023
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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