Lynn M. Brens
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.
Lynn Michele Brens, who also goes by Lynn Brens, was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 2010. Lynn had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 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
October 25, 2024 - April 6, 2026
NUVEEN SECURITIES, LLC
June 8, 2023 - May 22, 2024
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
April 22, 2022 - June 26, 2023
FORESIDE FINANCIAL SERVICES, LLC
October 3, 2012 - July 13, 2020
WILLIAM BLAIR
November 24, 2010 - March 30, 2012
AMG DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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