Brian Crosby, financial advisor Milan OH
58 score

Brian Crosby

CRD Number: 1174974
Current Firm: Kms Financial Services, Inc.

Brian Crosby (CRD# 1174974) is an Investment Advisor Representative working at Kms Financial Services, Inc. in Milan, OH and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Kms Financial Services, Inc. Seattle, WA Sep 2011 - Current 5
Capital & Business Planning, Inc. Westlake, OH Apr 1986 - Current 30
Qa3 Financial Corp Omaha, NE May 2005 - Feb 2011 5
Qa3 Financial LLC Omaha, NE May 2005 - Feb 2011 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2000
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Brian E. Crosby
Phone Number: [206]441-2885
Registered State(s):
  • OH
  • VA
By the Numbers
  • Total Assets Under Management
    5,174
    MILLIONS
  • Total Number of Accounts
    24,587
    ACCOUNTS
  • Average Account Value
    $210,434
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
58

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