Brent W. Fairchild
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.
Brent Waite Fairchild, who also goes by Brent W Fairchild, was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1979. Brent had worked at 11 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2012 - April 14, 2014
LUCIA SECURITIES, LLC
October 31, 2005 - August 3, 2012
OSAIC SERVICES, INC.
November 15, 2000 - December 8, 2005
SUCCESS FINANCIAL ADVISORS, LLC
March 23, 1999 - October 31, 2005
SUNAMERICA SECURITIES, INC.
July 1, 1998 - December 31, 1998
OSAIC FS, INC.
January 1, 1994 - July 6, 1998
LEGEND EQUITIES CORPORATION
May 29, 1991 - January 1, 1994
LEGEND CAPITAL CORPORATION
April 1, 1991 - May 3, 1991
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 17, 1990 - April 1, 1991
PW SECURITIES, INC.
March 24, 1983 - August 23, 1988
U.S. ADVISORS, INC.
October 19, 1979 - March 25, 1983
INDEPENDENT FINANCIAL PLANNERS CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/1/1976
Registered Representative ExaminationCurrent Firm
LUCIA SECURITIES, LLC
CRD#: 37179 / SEC#: , 8-47643
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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