Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Doe is a registered representative with Goldman Sachs & Co. LLC, licensed in all 50 states and Puerto Rico. Brian has a background in financial services, and has been in the industry since April 20, 2021. Brian holds Series 7TO, Series 63, Series 9, and Series 10 licenses, in addition to the SIE exam. Brian offers a wide range of financial services including portfolio management for individuals and businesses, financial planning, and educational seminars.
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.
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.
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.
Execution charges, custody, management fee
1
2
WA
04/21/2021 - Present
Goldman Sachs & Co. LLC (SEATTLE WA)
BC
Issued 07/06/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/13/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/20/2021
Series 7TO - General Securities Representative Examination
BC
Issued 03/23/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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