Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Gatta is a financial advisor who is registered with the state of California and Texas. Brett is currently registered as an Investment Advisor Representative with Independent Financial Group, LLC. Brett has been a financial advisor for more than 10 years and has experience working with a variety of clients, including individuals, high-net-worth individuals, corporations, and charitable organizations. Brett specializes in providing financial planning, portfolio management, and pension consulting services. Brett has previously worked with Securities America, Inc., Park Avenue Securities LLC, Morgan Stanley, and John Thomas Financial. Brett has Series 63, Series 65, Series 7, and SIE licenses.
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.
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.
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2
CA
10/13/2023 - Present
Independent Financial Group, LLC (SAN DIEGO CA)
CA
02/08/2019 - 08/21/2020
SECURITIES AMERICA, INC. (SAN DIEGO CA)
NY
10/17/2016 - 02/26/2019
PARK AVENUE SECURITIES LLC (LATHAM NY)
NY
12/16/2013 - 10/28/2016
MORGAN STANLEY (ALBANY NY)
NY
04/09/2012 - 11/16/2012
JOHN THOMAS FINANCIAL (NEW YORK NY)
IA
Issued 01/24/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/27/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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