Individual Firm
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BRIAN BARTHOLOMEW FANNING
CRD#: 1142041
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 732 WEST MAIN STREET
LAKE GENEVA, WI 53147
LAKE GENEVA, WI 53147
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 732 W. MAIN STREET
LAKE GENEVA, WI 53147
LAKE GENEVA, WI 53147
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10/22/1987
Customer Dispute
Settled
4/24/1980
Criminal
Final Disposition
State Registrations
B
Arizona 2/9/2009
B
Michigan 3/28/2005
B
California 3/28/2005
B
Missouri 4/26/2012
B
Colorado 7/11/2005
B
New Jersey 3/28/2005
B
Florida 10/14/2005
B
New York 3/19/2018
IA
Florida 9/26/2019
B
Tennessee 8/5/2022
B
Georgia 3/21/2013
B
Texas 1/7/2025
B
Idaho 1/8/2020
IA
Texas 1/7/2025
B
Illinois 3/28/2005
B
Virginia 5/1/2013
B
Indiana 1/21/2011
B
Wisconsin 3/28/2005
IA
Indiana 1/31/2013
IA
Wisconsin 5/26/2009
B
Maryland 12/1/2014
B
Wyoming 12/19/2005
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/2/2009
B
Registered with this firm since 3/28/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/14/2005 - 01/02/2009 | LAKE GENEVA, WI | |
B | 03/02/1998 - 04/12/2005 | NEW YORK, NY | |
B | 05/12/1997 - 03/02/1998 | ||
B | 03/18/1993 - 05/16/1997 | DALLAS, TX | |
B | 05/07/1992 - 02/23/1993 | ||
B | 09/04/1990 - 05/11/1992 | ST. LOUIS, MO | |
B | 08/18/1988 - 09/04/1990 | ||
B | 01/13/1986 - 07/26/1988 | ||
B | 06/22/1983 - 01/10/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.