Brian J. Mccafferty
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 James Mccafferty, who also goes by Brian J Mccafferty, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1980. Brian had worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2022 - January 22, 2026
ALDEN INVESTMENT GROUP
March 28, 2022 - January 22, 2026
J. ALDEN ASSOCIATES, INC.
January 27, 2021 - December 31, 2021
WOOD (ARTHUR W.) COMPANY, INC.
December 4, 2018 - January 4, 2021
KINGSWOOD WEALTH ADVISORS, LLC
August 22, 2018 - January 4, 2021
KINGSWOOD CAPITAL PARTNERS, LLC
December 11, 2017 - August 13, 2018
SGMA CAPITAL MARKETS LIMITED
January 20, 2011 - December 8, 2017
OPPENHEIMER & CO. INC.
January 19, 2011 - December 8, 2017
OPPENHEIMER & CO. INC.
March 19, 2008 - January 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2008 - January 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2008 - March 25, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - March 25, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 22, 1994 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 7, 1989 - June 22, 1994
UBS FINANCIAL SERVICES INC.
March 23, 1984 - December 5, 1989
MORGAN STANLEY DW INC.
March 9, 1984 - April 10, 1984
LEHMAN BROTHERS INC.
March 3, 1982 - March 27, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 1980 - March 25, 1982
MORGAN STANLEY DW INC.
February 22, 1980 - August 28, 1980
PHILIPS, APPEL & WALDEN, INC.
Primary Firm SEC Registration
ALDEN INVESTMENT GROUP
CRD#: 317077 / SEC#: 801-122688
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: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 9/29/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALDEN INVESTMENT GROUP
CRD#: 317077 / SEC#: 801-122688
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 978 |
| AUM (Assets Under Management) | $ 319,233,679 |
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.
