Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Haworth is a financial professional with over 30 years of experience in the financial services industry. Brian has held various positions at prominent firms including Spear, Leeds & Kellogg, L.P., BANC ONE CAPITAL MARKETS, INC., Sovereign Securities Corporation, LLC, Morgan Stanley DW Inc., Advest, Inc., Prudential Securities Incorporated, and The Nikko Securities Co. International, Inc. Brian is currently registered with Daiwa Capital Markets America Inc. and holds FINRA Series 3, 7, 63, and 65 licenses as well as the SIE exam. Brian is registered in 10 states and the District of Columbia.
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.
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.
1
2
NY
04/11/2005 - Present
Daiwa Capital Markets America Inc. (NEW YORK NY)
TN
01/07/2005 - 04/07/2005
FTN FINANCIAL SECURITIES CORP (MEMPHIS TN)
NY
08/02/2004 - 01/07/2005
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
IL
02/19/2003 - 07/14/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
PA
11/05/2002 - 02/14/2003
SOVEREIGN SECURITIES CORPORATION, LLC (PHILADELPHIA PA)
NY
11/13/2001 - 11/05/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
CT
07/24/2001 - 11/21/2001
ADVEST, INC. (HARTFORD CT)
NY
11/04/1998 - 11/17/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/29/1993 - 09/25/1998
THE NIKKO SECURITIES CO. INTERNATIONAL, INC. (NEW YORK NY)
NY
04/29/1987 - 12/09/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/06/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/1987
Series 3 - National Commodity Futures Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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