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BD

Brian Davis Day

CRD# 6087281·Registered 2012 - 2015
Previously Registered: Being a previously registered professional could mean that Brian 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.

Professional Summary

Brian Davis Day was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 2012 - 2015. Brian had worked at 1 firm and has passed the Series 63, SIE and Series 22 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

14 years registered in the securities industry

Current & Past Employments

Past

ANUBIS SECURITIES LLCPast·CRD# 157642
BD
New York, NY
August 24, 2012 - August 31, 2015

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Current Firm

AS
ANUBIS SECURITIES LLC

ANUBIS SECURITIES LLC

CRD#: 157642 / SEC#: 8-68859
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

717 Fifth Avenue 18th Floor, New York, NY 10022

Mailing Address

717 Fifth Avenue 18th Floor, New York, NY 10022

Phone Number

(212) 705-5000

Established

Delaware since 01/03/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ANUBIS ADVISORS LLCMEMBER—
BLOCK, LAWRENCE STEVENPRINCIPAL, PRESIDENT AND CHIEF COMPLIANCE OFFICER3006613
DORFMAN, ESTEE CARLAFINANCIAL AND OPERATIONS PRINCIPAL; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER2696529

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2012About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2015About the SIE exam

Series 22 — Direct Participation Programs Representative Examination

Passed Aug 2012About the Series 22 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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