Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Friedman is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., having joined the firm in 2009. Brian has been in the industry since 1987, working previously for BANC OF AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC., GNA SECURITIES, INC. and WELLS FARGO SECURITIES INC.. Brian has been licensed to provide investment advice in multiple states including Alaska, Arizona, Arkansas, California, Colorado and Connecticut. Brian is licensed to provide investment advisory services in the states of California and Texas.
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
AZ
06/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PHOENIX AZ)
AZ
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PHOENIX AZ)
CA
06/02/1992 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
VA
05/13/1992 - 06/30/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
CA
04/07/1987 - 02/25/1992
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IA
Issued 02/24/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/1986
Series 7 - General Securities 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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