Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian James Kerwin is a financial advisor with over 40 years of experience in the financial services industry. Brian currently works at RBC Capital Markets, LLC. Prior to joining RBC Capital Markets, LLC, Brian was employed at Wells Fargo Clearing Services, LLC., Prudential Securities Incorporated, PaineWebber Incorporated, Kidder, Peabody & Co. Incorporated, Smith Barney, Harris Upham & Co., Incorporated, Becker Paribas Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Brian is registered with FINRA as a General Securities Representative. Brian is also registered as an Investment Advisor Representative in New Jersey 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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
NJ
03/14/2018 - Present
RBC Capital Markets, LLC (FLORHAM PARK NJ)
NJ
07/01/2003 - 03/20/2018
WELLS FARGO CLEARING SERVICES, LLC (WARREN NJ)
NY
10/06/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
01/28/1995 - 11/14/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
11/28/1989 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
10/09/1984 - 11/16/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
03/13/1984 - 10/19/1984
BECKER PARIBAS INCORPORATED
NA
10/22/1980 - 03/02/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 05/05/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1980
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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