Arnold E. Brief
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.
Arnold Evans Brief, who also goes by Arnold E Brief, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1979. Arnold had worked at 8 firms and has passed the Series 63, Series 87 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2008 - December 21, 2012
AXIOM CAPITAL MANAGEMENT, INC.
February 27, 2002 - October 29, 2008
GOLDSMITH & HARRIS INCORPORATED
May 8, 1998 - December 31, 2001
BALIS LEWITTES & COLEMAN, INC.
January 15, 1994 - April 30, 1998
EARLYBIRDCAPITAL, INC.
February 23, 1993 - April 20, 1994
JOSEPHTHAL & CO., INC.
July 24, 1990 - February 2, 1993
BALIS & ZORN INC.
August 3, 1989 - February 2, 1993
BALIS & ZORN INC.
January 19, 1988 - February 22, 1989
GOLDSMITH & HARRIS INCORPORATED
June 7, 1985 - November 5, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
December 27, 1979 - April 17, 1985
CITIGROUP GLOBAL MARKETS INC.
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
Series 1
Date: 4/4/1961
Registered Representative ExaminationCurrent Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 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.
