Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Rand is an investment advisor representative with Osaic Institutions, Inc. Brett has over 20 years of experience in the financial services industry and holds several licenses and certifications, including Series 63, 65, 7, 9, 10, and SIE. Brett has been registered as an investment advisor representative with the state of New Jersey since January 2021. Brett also holds a license as an investment advisor representative with the state of New York, which he was granted in July 2021. Brett previously worked for HSBC Securities (USA) Inc. for almost a decade, where he served as a financial advisor representative. Brett's current role at Osaic Institutions, Inc., is focused on providing financial planning and investment management services to individuals 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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
A percentage of the total value of assets under management is charged.
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2
NY
07/14/2021 - Present
Osaic Institutions, Inc. (BROOKLYN NY)
NY
01/01/2005 - 01/25/2021
HSBC SECURITIES (USA) INC. (BROOKLYN NY)
NY
01/16/2004 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NJ
03/12/2002 - 01/15/2004
PRUCO SECURITIES, LLC. (NEWARK NJ)
NY
10/03/2000 - 05/07/2001
MASON HILL & CO., INC. (NEW YORK NY)
NY
11/05/1999 - 10/13/2000
HORNBLOWER & WEEKS, INC. (NEW YORK NY)
IA
Issued 01/18/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/13/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/12/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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