Brian Bova Resigned from LPL: Reg D Allegations

Houston, Texas financial advisor Brian Bova (CRD# 4445536) recently resigned from Cabot Lodge Securities in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Inscription Capital.

Mr. Bova’s BrokerCheck report discloses his resignation from Cabot Lodge Securities. Filed in December 2023, it states that he was “permitted to resign” in connection with allegations that he “engaged in activities as a General Partner” of a Regulation D offering, through an entity under his control, without first receiving the firm’s permission.

Inscription Capital’s website includes a profile of Mr. Bova that describes him as the firm’s Co-Chief Investment Officer. “Mr. Bova has been recognized for his work as a private wealth adviser in numerous financial publications, such as Barron’s, On Wall Street, and the Houston Business Journal,” it states. “Prior to founding Inscription, Mr. Bova sat on the Private Wealth Management Leadership Committee and the Alternative Investment Advisory Council for UBS Financial Services.”

Elsewhere, the firm describes its approach to wealth management. “We believe the hallmark of our success has been very strong relationships with our clients,” it states. “At the core of these relationships is a deep understanding of every aspect of a client’s life.  We spend hours on the front end of a relationship understanding each client’s unique situation to ensure we know who they are and what they value.”

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Brian Bova holds 22 years of securities industry experience. Based in Houston, Texas, he has been registered as an investment advisor with Inscription Capital since 2018. His past registrations include Cabot Lodge Securities (Houston, Texas; 2021-2023), Purshe Kaplan Sterling (Houston, Texas; 2018-2021), UBS Financial Services (Houston, Texas; 2008-2018), UBS Financial Services (Weehawken, New Jersey; 2003-2018), and Merrill Lynch (New York, New York; 2001-2003). His credentials include the passage of six securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Investment Banking Registered Representative Examination, or Series 79TO; the Operations Professional Examination, or Series 99TO; the Uniform Combined State Law Examination, or Series 66; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, California, Louisiana, New York, Puerto Rico, Texas, and Washington. (Information current as of January 30, 2024.)

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