Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Heffern is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. with over 20 years of experience in the financial services industry. Brian has a wide range of experience in financial planning and investment management. Brian is also licensed to provide investment advisory services in Texas. Brian's primary practice focuses on providing comprehensive financial planning and investment management services to individuals, families, and businesses.
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
MD
08/23/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HUNT VALLEY MD)
CT
04/17/2003 - 07/02/2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC. (HARTFORD CT)
NY
04/10/2000 - 10/09/2001
KNIGHT CAPITAL MARKETS, LLC. (PURCHASE NY)
NY
09/08/1998 - 11/24/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/15/1994 - 06/30/1994
L.C. WEGARD & CO., INC. (NEW YORK NY)
BOTH
Issued 10/20/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/02/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2017
Series 7 - General Securities Representative Examination
BC
Issued 07/28/2000
Series 55 - Limited Representative-Equity Trader Exam
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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