Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Kellam is a financial advisor registered with Raymond James & Associates, Inc. based in Greenwich, Connecticut. Brett has been in the financial services industry since 1981 and has a broad range of experience working with individual investors, corporations, and retirement plans. Brett is a Registered Principal with Series 4, 8, 9, 10 and 24 securities licenses and has passed the SIE, Series 5, 7, and 63 exams. Brett has worked with Deutsche Bank Securities Inc, UBS Securities LLC, and SBC Warburg Dillon Read Inc in the past.
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.
Please see note in schedule d - miscellaneous
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
09/20/2016 - Present
Raymond James & Associates, Inc. (Greenwich CT)
NY
03/31/2009 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
CT
06/29/1998 - 12/21/2007
UBS SECURITIES LLC (STAMFORD CT)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
04/11/1997 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
NY
10/31/1983 - 01/28/1997
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
12/11/1981 - 04/19/1983
PAINE, WEBBER, JACKSON & CURTIS INC.
BC
Issued 11/25/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/24/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/09/1998
Series 24 - General Securities Principal Examination
BC
Issued 06/14/1993
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 11/21/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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