Herbert R. Behrens
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.
Herbert Reuben Behrens was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1977. Herbert had worked at 6 firms and has passed the Series 63, Series 5, PC, Series 18, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 1990 - May 8, 2012
BRILL SECURITIES, INC.
June 25, 1990 - July 17, 1990
BRILL SECURITIES, INC.
November 23, 1988 - July 3, 1990
WEDBUSH SECURITIES INC.
September 30, 1985 - July 3, 1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
April 21, 1981 - November 22, 1982
BRUNS, NORDEMAN, REA & CO.
April 21, 1981 - October 25, 1985
PRUDENTIAL EQUITY GROUP, LLC
December 20, 1977 - May 25, 1981
LADENBURG THALMANN & CO. INC.
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 5
Date: 10/14/1981
Interest Rate Options ExaminationPC
Date: 6/29/1981
AMEX Put and Call ExamSeries 18
Date: 12/12/1977
Securities Industry Rules and Regulations ExaminationCurrent Firm
BRILL SECURITIES, INC.
CRD#: 18565 / SEC#: 801-61275, 8-36654
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
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