Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Carlton Lighty is a financial advisor with over 20 years of experience in the financial services industry. Brian is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian has also held previous roles at ICMA-RC SERVICES, LLC, LINCOLN FINANCIAL DISTRIBUTORS, INC., ING FINANCIAL PARTNERS, INC., ING FINANCIAL ADVISERS, LLC, COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC., and PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP. Brian holds licenses in a range of states.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
11/11/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
DC
11/20/2017 - 03/23/2020
ICMA-RC SERVICES, LLC (WASHINGTON DC)
PA
11/27/2013 - 10/30/2017
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
IL
02/16/2012 - 11/18/2013
ING FINANCIAL PARTNERS, INC. (CHICAGO IL)
CT
04/20/2011 - 11/18/2013
ING FINANCIAL ADVISERS, LLC (WINDSOR CT)
MA
02/27/2008 - 04/13/2011
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (BOSTON MA)
MA
12/07/1998 - 02/19/2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
IA
Issued 10/30/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2007
Series 7 - General Securities Representative Examination
BC
Issued 12/03/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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