BRIAN SUN EAGLEHEART MCDOWELL is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 8050 SW PFAFFLE ST STE 100, PORTLAND, OR, 97223.

BRIAN SUN EAGLEHEART MCDOWELL has worked at CETERA ADVISORS LLC since September 30, 2016

Disclosure History

BRIAN SUN EAGLEHEART MCDOWELL has 1 Disclosure Event(s).

Date: July 13, 2016
Category: Employment Separation After Allegations
Termination Type: Discharged
Allegations: Registered Rep violated firm policy by describing unapproved outside offers to purchase operating businesses to colleagues and subordinates via his firm email. Registered Rep also offered to facilitate personal introductions with the outside business broker of those offers, who is not securities-licensed, if the recipients' clients thought they could potentially benefit from purchasing one of the businesses.
Broker Comment: When I sent the subject email it did not occur to me that it might possibly be considered a violation of firm policy. The supervisory manager was included in the email and it went to selected business banking managers and Advisors with information potentially benefiting business owners. No compensation would have been received, the businesses were not competing products or services, and the firm would benefit ultimately once the buying business owner sold their business and had money to invest. My expectation was that if a colleague thought one of their clients would like to know more that they would talk with me first, I would in turn talk to supervision and compliance, then upon approval, put them in contact with the broker. Needless to say, I learned from my mistake and will not take such an action again without receiving PRIOR approval first.

More Information

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