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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Riley is a financial advisor with UBS Financial Services Inc., with over 29 years of experience in the financial industry. Brett has a strong track record of success and is committed to providing clients with personalized financial advice and solutions. He is dedicated to helping clients achieve their financial goals, whether it is saving for retirement, planning for college, or managing investments. Brett is a Registered Representative and Investment Advisor Representative, and holds Series 7, 63, and 65 securities licenses. Brett has previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated and BANC of America Investment Services, Inc. Brett is a valuable resource for clients seeking to work with an experienced and knowledgeable advisor.
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.
See schedule d - miscellaneous
1
2
TX
09/30/2022 - Present
UBS Financial Services Inc. (AUSTIN TX)
TX
10/23/2009 - 10/03/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LUBBOCK TX)
TX
01/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (MIDLAND TX)
NA
12/17/1993 - 01/01/1998
NATIONSSECURITIES
IA
Issued 09/18/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
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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