Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Connors is a financial advisor with Stifel, Nicolaus & Company, Inc., a firm with over $149 billion in assets under management. Brian has over 30 years of experience in the financial services industry, having previously worked for First Empire Securities, Inc., Charles Schwab & Co., Inc., Dreyfus Service Corporation, Lehman Brothers Inc., and Bear, Stearns & Co. Inc.. Brian specializes in providing financial planning, portfolio management, and investment advisory services to individuals, corporations, and institutional clients. Brian is a Series 7, Series 10, Series 24, and Series 63 licensed professional and holds the SIE designation. Brian is committed to providing his clients with personalized service and tailored investment strategies.
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.
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.
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2
NY
03/15/2019 - Present
Stifel, Nicolaus & Company, Inc. (HAUPPAUGE NY)
NY
01/22/2009 - 03/15/2019
FIRST EMPIRE SECURITIES, INC. (HAUPPAUGE NY)
NY
05/10/2004 - 10/20/2008
CHARLES SCHWAB & CO., INC. (NEW YORK CITY NY)
NY
01/04/1993 - 02/19/2004
DREYFUS SERVICE CORPORATION (NEW YORK NY)
NY
10/23/1991 - 10/19/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/10/1990 - 10/30/1991
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
08/21/1986 - 04/23/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
IA
Issued 11/11/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/04/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/20/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/15/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/05/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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