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BD

Brent P. Defiori

BOUSTEAD SECURITIES
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 7072564
BD

Professional summary

Brent Patrick Defiori is a registered financial professional currently at BOUSTEAD SECURITIES, LLC located in Irvine, California and SUTTER SECURITIES INCORPORATED located in Irvine, California.

Brent is registered as a RR (Registered Representative) and started their career in finance in 2019. Brent has worked at 3 firms and has passed the Series 66, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brent Patrick Defiori's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 16, 2020 - Present

BOUSTEAD SECURITIES, LLC

Office #1: 6 Venture Suite 395, Irvine, CA 92618
BD
CRD#: 141391
Irvine, CA
Current

January 11, 2022 - Present

SUTTER SECURITIES INCORPORATED

Office #1: 6 Venture, Suite 395 Suite 395, Irvine, CA 92618
BD
CRD#: 30770
Irvine, CA
Past

July 11, 2019 - March 23, 2020

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
Los Angeles, CA
Past

May 21, 2019 - March 23, 2020

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Los Angeles, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/16/2020)
RR
Connecticut
(1/11/2022)
RR
Florida
(1/11/2022)
RR
New Jersey
(1/11/2022)
RR
New York
(1/11/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/11/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/20/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/21/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/21/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SUTTER SECURITIES INCORPORATED
S & D SECURITIES, INC. | SUTTER SECURITIES, INC. | SUTTER SECURITIES INCORPORATED

CRD#: 30770 / SEC#: , 8-45158

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618
Mailing Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618
Phone number
(415) 352-6300
Established
California since 07/22/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS)SHAREHOLDER
BULL, ROBERT LEE IVFINOP1521134
CHOMATIL, NEHRU SUBRAMANIANCHIEF COMPLIANCE OFFICER2342004
MALEY, ROBERT ANDREWEXECUTIVE VICE PRESIDENT2442794
MATTHEWS, GILBERT ELLIOTTSR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN
SMITH, LINCOLN JOSEPH JRPRESIDENT, CEO2501422

Disclosures

Regulatory Event1
Bond1

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.

Company Information

SUTTER SECURITIES INCORPORATED

CRD#: 30770Irvine, CA 92618

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