Brian Gage
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.
Brian Gage was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2012. Brian had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2013 - November 19, 2013
PATHWAY STRATEGIC ADVISORS
May 22, 2013 - November 15, 2013
ALPS DISTRIBUTORS, INC.
October 29, 2012 - March 11, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 10, 2012 - March 11, 2013
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PATHWAY STRATEGIC ADVISORS
CRD#: 158395 / SEC#: 801-72590
Contact information
Red Flags
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