Brian S. Fund
Professional summary
Brian Spencer Fund, who also goes by Brian Fund, is a registered financial professional currently at ELEQUIN SECURITIES LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2015. Brian has worked at 3 firms and has passed the Series 52TO, Series 57TO, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Spencer Fund's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2025 - Present
ELEQUIN SECURITIES LLC
Office #1: 1333 Broadway Suite 500, New York, NY 10018October 7, 2015 - April 17, 2019
BLUEFIN CAPITAL MANAGEMENT, LLC
April 24, 2015 - October 8, 2015
SUSQUEHANNA SECURITIES, LLC
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 52TO
Date: 1/15/2025
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/7/2025
Securities Trader ExamSeries 7TO
Date: 12/30/2024
General Securities Representative ExaminationSeries 55
Date: 8/19/2015
Limited Representative-Equity Trader ExamCboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Current Firm
ELEQUIN SECURITIES LLC
CRD#: 311650 / SEC#: , 8-70654
Contact information
Documents
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.
