Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Francis Pocock is a financial advisor with over 30 years of experience in the financial industry. Brian currently works for Raymond James & Associates, Inc. where Brian is registered as a Registered Representative and Investment Advisor Representative, in Georgia. Prior to joining Raymond James & Associates, Inc., Brian worked for Deutsche Bank Securities Inc., Citigroup Global Markets Inc., Banc of America Investment Services, Inc., Morgan Stanley DW Inc., R A F Financial Corporation, F.N. Wolf & Co., Inc., and Sherwood Capital, Inc.. Brian has passed several industry exams including Series 31, Series 7, Series 10, Series 24, and Series 65. Brian is registered to provide investment advice in 53 states including Georgia, Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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.
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.
Please see note in schedule d - miscellaneous
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
GA
09/06/2016 - Present
Raymond James & Associates, Inc. (Marietta GA)
GA
02/04/2009 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (ATLANTA GA)
GA
12/03/2007 - 02/17/2009
CITIGROUP GLOBAL MARKETS INC. (ATLANTA GA)
GA
03/20/2006 - 10/02/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (ATLANTA GA)
NY
09/26/1997 - 03/23/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
CO
07/01/1994 - 09/02/1997
R A F FINANCIAL CORPORATION (DENVER CO)
NA
05/16/1988 - 07/21/1994
F.N. WOLF & CO., INC.
NA
02/02/1987 - 05/18/1988
SHERWOOD CAPITAL, INC.
NA
03/23/1984 - 01/31/1987
FIRST JERSEY SECURITIES, INC.
IA
Issued 01/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/07/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/03/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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