Brian Whitten
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 Whitten, who also goes by Brian J Whitten, Brian Joseph Whitten, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2013. Brian had worked at 6 firms and has passed the Series 63, Series 66, Series 3, SIE 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
January 20, 2021 - July 5, 2022
TRADESTATION SECURITIES, INC.
March 11, 2019 - August 28, 2019
FSC SECURITIES CORPORATION
June 13, 2018 - December 19, 2018
VOYA FINANCIAL PARTNERS, LLC
April 15, 2016 - February 10, 2017
T. ROWE PRICE ADVISORY SERVICES, INC.
April 4, 2016 - February 10, 2017
T. ROWE PRICE INVESTMENT SERVICES, INC.
May 10, 2013 - October 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 2013 - October 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
