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 Pauley is a financial advisor registered with Wells Fargo Clearing Services, LLC. Brian has been in the industry since June 1983. Brian has a Series 63, Series 66, Series 3, Series 7, Series 8, Series 9, and Series 10 license. Brian is registered to provide investment advice in 42 states including Illinois 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
IL
11/28/2016 - Present
Wells Fargo Clearing Services, LLC (ROCKFORD IL)
NA
06/22/1983 - 09/04/1990
BLUNT ELLIS & LOEWI INCORPORATED
BOTH
Issued 02/21/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/27/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/06/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/12/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/04/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/1983
Series 3 - National Commodity Futures Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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