Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Douglas Applestein is a financial advisor with over 20 years of experience in the financial services industry. Brian has been registered with Vanguard Advisers, Inc. since 2010. Brian's experience includes working with individual investors, families, and small businesses. He is a Certified Financial Planner™ and holds the Series 63, 65, 66, and 7 licenses. Prior to joining Vanguard Advisers, Brian held positions at several other firms, including AXA Advisors, LLC, Wachovia Securities, LLC, and FSC Securities Corporation. Brian's professional experience encompasses a wide range of financial services, including financial planning, investment management, retirement planning, and estate planning.
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.
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.
A percentage of the total value of assets under management is charged.
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2
PA
08/02/2018 - Present
Vanguard Advisers, Inc. (MALVERN PA)
PA
09/20/2010 - 08/07/2015
VANGUARD MARKETING CORPORATION (MALVERN PA)
PA
10/31/2008 - 11/25/2008
AXA ADVISORS, LLC (BALA CYNWYD PA)
MO
08/28/2002 - 12/31/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/19/1999 - 08/31/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
07/19/1999 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NY
04/12/1996 - 08/19/1997
SALOMON BROTHERS INC. (NEW YORK NY)
GA
10/29/1992 - 07/01/1994
FSC SECURITIES CORPORATION (ATLANTA GA)
BOTH
Issued 11/17/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/17/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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