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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Dag is an investment advisor representative at Raymond James & Associates, Inc. based in Oakbrook Terrace, Illinois. Brian has been in the industry for over 16 years, having experience with various firms like Charles Schwab & Co., Inc., Rothschild Investment Corporation, and Brooklight Place Securities, Inc. Brian holds multiple industry licenses and designations, including Series 7, 9, 10, 24, 52, 53, 55, 57, 63, and 66, and is registered with the state of Illinois.
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
IL
11/12/2019 - Present
Raymond James & Associates, Inc. (Oakbrook Terrace IL)
AZ
12/11/2018 - 11/06/2019
BROOKLIGHT PLACE SECURITIES, INC. (FOUNTAIN HILLS AZ)
IL
12/12/2014 - 12/07/2018
CHARLES SCHWAB & CO., INC. (Chicago IL)
IL
03/26/2007 - 12/01/2014
ROTHSCHILD INVESTMENT CORPORATION (CHICAGO IL)
NE
09/18/2000 - 08/15/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 08/03/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/07/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2019
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/22/2019
Series 24 - General Securities Principal Examination
BC
Issued 06/17/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/19/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/23/2007
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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