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Detailed Report
Brian David Stout
CRD#: 2568318
IA
Investment Adviser
B
Previous Broker
CONFLUENCE FINANCIAL PARTNERSCRD#: 311980 1605 Carmody Court
Sewickley, PA 15143
Registration History
19952000200520102015202020252 FIRMS2002 - 2003 (<1 year)2 FIRMS2017 - 2021 (4 years)2 FIRMS2021 - 2021 (<1 year)IACONFLUENCE FINANCIAL PARTNERS (CRD# 311980)2021 - Present (3 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2006 - 2016 (10 years)BPRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD# 43261)2007 - 2008 (<1 year)BADP BROKER-DEALER, INC. (CRD# 37693)2002 - 2005 (3 years)BTUCKER ANTHONY INCORPORATED (CRD# 837)2001 - 2002 (<1 year)BCOMMONWEALTH FINANCIAL NETWORK (CRD# 8032)1999 - 2001 (1 year)BICMA - RC SERVICES, INC. (CRD# 23189)1995 - 1997 (2 years)
Disclosure(s)
View By:
7/27/2016
Financial
Final
License(s)

State Registrations

IA
Pennsylvania 7/6/2021
Current Registration(s)
IA
CONFLUENCE FINANCIAL PARTNERS (CRD#:311980)
1605 Carmody Court, Sewickley, PA 15143
Registered with this firm since 7/6/2021
Previous Registration(s)
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IA
 01/11/2021 - 07/07/2021 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) McMurray, PA
B
 01/11/2021 - 07/07/2021 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) McMurray, PA
B
 01/05/2017 - 01/20/2021 LPL FINANCIAL LLC (CRD#:6413) PITTSBURGH, PA
IA
 04/05/2017 - 01/12/2021 GLOBAL RETIREMENT PARTNERS LLC (CRD#:172011) Pittsburgh, PA
B
 04/17/2006 - 11/15/2016 PRINCIPAL SECURITIES, INC. (CRD#:1137) PITTSBURGH, PA
B
 10/29/2007 - 09/23/2008 PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261) DES MOINES, IA
B
 12/20/2002 - 12/07/2005 ADP BROKER-DEALER, INC. (CRD#:37693) ROSELAND, NJ
IA
 05/13/2002 - 01/09/2003 RBC DAIN RAUSCHER INC. (CRD#:31194) PITTSBURGH, PA
B
 03/09/2002 - 01/09/2003 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
B
 11/01/2001 - 03/09/2002 TUCKER ANTHONY INCORPORATED (CRD#:837) BOSTON, MA
B
 11/12/1999 - 10/25/2001 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) WALTHAM, MA
B
 01/03/1995 - 06/03/1997 ICMA - RC SERVICES, INC. (CRD#:23189) WASHINGTON, DC
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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
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.