Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Bertonazzi is a financial professional with over 30 years of experience in the industry. Brian is currently registered with Piper Sandler & Co. in Boston, MA and has previously held positions at firms such as Sandler, O'Neill & Partners, L.P., H.C. Wainwright & Co., Inc. and Smith Barney, Harris Upham & Co., Incorporated. Brian holds licenses for Series 6, 7, 15, 24 and 63. Brian has a strong background in the financial services industry, with particular expertise in the area of portfolio management for businesses and analytical reports/public finance 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
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2
MA
01/03/2020 - Present
Piper Sandler & Co. (Boston MA)
MA
03/23/1995 - 01/03/2020
SANDLER, O'NEILL & PARTNERS, L.P. (BOSTON MA)
NY
11/26/1991 - 02/27/1995
H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)
NY
06/13/1989 - 11/27/1991
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
04/12/1988 - 06/28/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
10/07/1986 - 04/21/1988
THOMSON MCKINNON SECURITIES INC.
NA
04/02/1985 - 10/10/1986
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
01/11/1984 - 03/15/1985
MOSELEY, HALLGARTEN, ESTABROOK & WEEDEN, INC.
NA
04/15/1983 - 11/21/1983
FIRST INVESTORS CORPORATION
BC
Issued 04/22/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/05/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
BC
Issued 04/14/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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