Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Heins has been in the financial industry since 1987. Brian has a strong background in the securities industry, having held various roles at prominent firms such as Merrill Lynch, Pierce, Fenner & Smith Inc., Morgan Stanley Smith Barney, and Wells Fargo Clearing Services, LLC. Brian currently is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian is also a Registered Investment Advisor, and is currently registered in California, New York, and Texas. Brian has a wide range of experience and expertise in areas such as securities, commodities, and investments. Brian provides investment advice to a variety of clients, including individuals, corporations, and institutional investors.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
02/28/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
05/28/2010 - 03/01/2017
WELLS FARGO CLEARING SERVICES, LLC (NEW YORK NY)
NY
06/01/2009 - 06/09/2010
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
12/19/2003 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
09/30/1997 - 01/08/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
01/28/1995 - 09/29/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
08/27/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
08/11/1989 - 09/01/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
03/09/1989 - 08/23/1989
CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
01/03/1989 - 02/01/1989
SHEARSON LEHMAN HUTTON INC.
NA
01/04/1988 - 12/13/1988
GREENTREE SECURITIES CORP.
NA
08/18/1987 - 01/19/1988
BROOKS WEINGER ROBBINS & LEEDS INC.
IA
Issued 11/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/19/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/18/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/1993
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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