Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Alan Brown is a financial advisor who has been in the industry since June 1995. Currently, Brett is registered with Stifel, Nicolaus & Company, Inc. in Stamford, Connecticut. Brett has previously been registered with Jefferies LLC, RBS Securities Inc., UBS Securities LLC, Smith Barney Inc. and Yamaichi International (America) Inc. Brett has a strong track record of success and has worked with a variety of clients, including high-net-worth individuals, corporations, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
09/06/2017 - Present
Stifel, Nicolaus & Company, Inc. (STAMFORD CT)
NY
02/17/2015 - 01/17/2017
JEFFERIES LLC (NEW YORK NY)
CT
03/26/2007 - 02/12/2015
RBS SECURITIES INC. (STAMFORD CT)
CT
12/09/1997 - 03/16/2007
UBS SECURITIES LLC (STAMFORD CT)
NY
09/01/1995 - 12/18/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
10/03/1994 - 08/15/1995
YAMAICHI INTERNATIONAL (AMERICA) INC. (NEW YORK NY)
BC
Issued 02/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/27/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/14/2019
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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