Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Rhode is a financial advisor in Blue Bell, Pennsylvania, and has been in the industry since October 1983. Brett is currently registered with Morgan Stanley and previously worked at UBS Financial Services Inc., Kidder, Peabody & Co. Incorporated, Columbia Asset Management Corp., Eric Securities, Corp., and INA Security Corporation. Brett has several licenses and certifications, including Series 3, 6, 7, 8, 9, 10, 22, 63, and 65. Brett is also a Certified Financial Planner. Brett specializes in providing financial planning, portfolio management for individuals, businesses, and investment companies, and selection of other advisors.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
PA
09/04/2020 - Present
Morgan Stanley (Blue Bell PA)
PA
01/28/1995 - 09/15/2020
UBS FINANCIAL SERVICES INC. (CONSHOHOCKEN PA)
NY
10/12/1987 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
07/08/1986 - 09/16/1987
COLUMBIA ASSET MANAGEMENT CORP.
NA
10/18/1983 - 03/24/1986
ERIC SECURITIES, CORP.
NA
10/25/1983 - 11/30/1984
INVESTORS BROKERAGE SERVICES, INC.
NA
06/08/1983 - 01/09/1984
INA SECURITY CORPORATION
IA
Issued 01/31/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/16/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/22/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/1992
Series 3 - National Commodity Futures Examination
BC
Issued 07/19/1986
Series 7 - General Securities Representative Examination
BC
Issued 01/18/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 06/07/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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