Bryan E. Braman
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.
Bryan Evan Braman was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 2009. Bryan had worked at 5 firms and has passed the Series 65, Series 63, 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
December 15, 2017 - April 4, 2018
CFD INVESTMENTS, INC.
October 28, 2014 - June 16, 2017
FIFTH THIRD SECURITIES, INC.
October 27, 2014 - June 16, 2017
FIFTH THIRD SECURITIES, INC.
September 17, 2014 - October 16, 2014
ESSEX NATIONAL SECURITIES, LLC
August 3, 2012 - October 16, 2014
ESSEX NATIONAL SECURITIES, LLC
November 4, 2011 - August 20, 2012
LPL FINANCIAL LLC
September 9, 2009 - November 4, 2011
JACKSON NATIONAL LIFE DISTRIBUTORS 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
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 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.
