BP
Brandon Pflaum
VCS VENTURE SECURITIES
New York, NY 10006-3201
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CRD#: 5762933
BP
Professional summary
Brandon Pflaum is a registered financial professional currently at VCS VENTURE SECURITIES located in New York, New York.
Brandon is registered as a RR (Registered Representative) and started their career in finance in 2010. Brandon has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Brandon Pflaum's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 17, 2021 - Present
VCS VENTURE SECURITIES
Office #1: 29 Broadway Suite 1502, New York, NY 10006-3201BD
CRD#: 127921
New York, NY
Past
January 13, 2020 - October 6, 2021
WORDEN CAPITAL MANAGEMENT LLC
BD
CRD#: 148366
New York, NY
Past
December 5, 2019 - January 13, 2020
JOSEPH GUNNAR & CO. LLC
RIA
CRD#: 24795
NEW YORK, NY
Past
March 11, 2010 - January 13, 2020
JOSEPH GUNNAR & CO. LLC
BD
CRD#: 24795
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/17/2021)
RR
Alaska(1/7/2022)
RR
Arizona(9/17/2021)
RR
Arkansas(6/8/2023)
RR
California(9/17/2021)
RR
Colorado(11/18/2021)
RR
Connecticut(9/17/2021)
RR
Delaware(12/15/2021)
RR
District of Columbia(9/17/2021)
RR
Florida(11/5/2021)
RR
Georgia(9/17/2021)
RR
Idaho(9/17/2021)
RR
Illinois(11/17/2021)
RR
Indiana(9/20/2021)
RR
Kansas(9/17/2021)
RR
Louisiana(9/17/2021)
RR
Maine(11/18/2021)
RR
Maryland(9/17/2021)
RR
Massachusetts(11/3/2021)
RR
Michigan(9/17/2021)
RR
Minnesota(12/16/2021)
RR
Mississippi(9/17/2021)
RR
Missouri(5/10/2022)
RR
Nebraska(12/23/2021)
RR
Nevada(9/17/2021)
RR
New Hampshire(2/3/2025)
RR
New Jersey(9/27/2021)
RR
New York(9/17/2021)
RR
North Carolina(10/22/2021)
RR
Ohio(9/17/2021)
RR
Oklahoma(9/21/2021)
RR
Oregon(10/18/2021)
RR
Pennsylvania(10/13/2021)
RR
South Carolina(9/17/2021)
RR
Tennessee(10/28/2021)
RR
Texas(11/2/2021)
RR
Utah(11/4/2021)
RR
Virginia(9/24/2021)
RR
Washington(9/17/2021)
RR
West Virginia(9/17/2021)
RR
Wisconsin(9/17/2021)
RR
Wyoming(1/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VV
VCS VENTURE SECURITIES
D R F BUSINESS AND FINANCIAL SERVICES, LLC | VCS VENTURE SECURITIES | PRIMARY CAPITAL, LLC
CRD#: 127921 / SEC#: , 8-66069
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
29 Broadway Suite 1502, New York, NY 10006-3201
Mailing Address
29 Broadway Suite 1502, New York, NY 10006-3221
Phone number
(212) 404-7696
Established
Delaware since 11/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEO CAPITAL MARKETS, LLC | DIRECT OWNER | |
| NEW AGE CAPITAL MANAGEMENT, LLC | DIRECT OWNER | |
| MOOD, TRAVIS ANTON MORSE | REGISTERED OPTIONS PRINCIPAL | 4745001 |
| NIXON, JON ALAN | FINOP | 4710715 |
| STALANSKI, JOHN WALTER | AMLCO | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF OPERATING OFFICER | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF COMPLIANCE OFFICER | 2922709 |
Disclosures
| Regulatory Event | 3 |
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.
