Brian T. Clendenin
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 Thomas Clendenin was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1979. Brian had worked at 8 firms and has passed the Series 63, Series 55, Series 4 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2009 - December 21, 2010
AIS FINANCIAL, INC.
May 26, 2005 - February 26, 2008
NATIONAL SECURITIES CORPORATION
November 28, 1997 - May 27, 2005
JOSEPH GUNNAR & CO. LLC
November 14, 1991 - August 28, 1997
FIRST ASSET MANAGEMENT, INC.
May 22, 1990 - June 27, 1990
FIRST MONTAUK SECURITIES CORP.
April 10, 1987 - April 24, 1990
V P SECURITIES, INC.
May 26, 1983 - April 3, 1987
BUNKER SECURITIES CORP.
June 25, 1979 - May 4, 1983
DONALD & CO. SECURITIES 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 55
Date: 10/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
AIS FINANCIAL, INC.
CRD#: 41462 / SEC#: , 8-49444
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
