Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Stephen Briggs is a financial professional with over 39 years of experience in the industry. Brett is currently registered with Capitol Securities Management, Inc. and is licensed to provide investment advice in both California and New York. Brett has a broad range of experience, having previously worked with a number of firms including Western International Securities, Inc., Financial West Group, and The Shemano Group, Inc., among others. Brett has held numerous licenses including Series 7, 63, 8, 24, and SIE. Brett's areas of specialization include investment management for individuals and businesses, financial planning, and pension consulting.
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.
A percentage of the total value of assets under management is charged.
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2
NY
03/04/2024 - Present
Capitol Securities Management, Inc. (ROCHESTER NY)
CA
08/21/2017 - 03/01/2024
WESTERN INTERNATIONAL SECURITIES, INC. (Los Angeles CA)
CA
01/14/2008 - 08/21/2017
FINANCIAL WEST GROUP (LOS ANGELES CA)
CA
11/22/2002 - 01/16/2008
THE SHEMANO GROUP, INC. (LOS ANGELES CA)
CA
02/11/2002 - 12/05/2002
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
10/15/2002 - 10/16/2002
THE SHEMANO GROUP, INC. (SAN FRANCISCO CA)
CA
11/30/1998 - 02/11/2002
INTERFIRST CAPITAL CORPORATION (LOS ANGELES CA)
NY
07/08/1993 - 10/05/1998
H.J. MEYERS & CO., INC. (ROCHESTER NY)
NY
02/03/1992 - 06/28/1993
EMANUEL AND COMPANY (NEW YORK NY)
NA
09/13/1990 - 05/11/1992
BARING & BROWN, INC.
NA
01/28/1988 - 10/24/1990
ROYCE PARK INVESTMENTS, INC.
NA
01/16/1985 - 02/27/1988
THOMAS JAMES ASSOCIATES, INC.
NA
03/22/1984 - 01/18/1985
APPLE FINANCIAL CORPORATION
IA
Issued 01/16/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/27/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/30/1986
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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