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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 Grooms is an Investment Advisor Representative associated with Morgan Stanley. Brian has been in the financial services industry for over 27 years and has a broad range of experience in investment management and financial planning. Brian has also earned the Series 6, 7, 3, 9, 10, 24, 53, 63, 65 and 66 securities licenses. Brian has worked with a variety of clients including individuals, families, corporations, investment clubs and charities.
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
NY
04/15/2020 - Present
Morgan Stanley (Syracuse NY)
NY
07/23/2007 - 07/11/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PITTSFORD NY)
CO
10/07/2005 - 07/09/2007
SECURITIES AMERICA, INC. (LAKEWOOD CO)
MO
01/07/2005 - 10/04/2005
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
07/01/2003 - 01/10/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/05/2002 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
OH
12/17/1999 - 11/13/2002
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
OH
05/14/1999 - 12/17/1999
KEY CLEARING CORP. (BROOKLYN OH)
OH
01/30/1998 - 05/14/1999
KEY INVESTMENTS INC. (CLEVELAND OH)
CA
08/30/1995 - 01/06/1998
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NJ
07/25/1991 - 03/23/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
07/25/1991 - 03/23/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BOTH
Issued 02/04/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/15/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/27/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/30/2005
Series 4 - Registered Options Principal Examination
BC
Issued 11/08/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/04/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2003
Series 3 - National Commodity Futures Examination
BC
Issued 11/05/1996
Series 7 - General Securities Representative Examination
BC
Issued 08/29/1995
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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