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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Joseph Hetherington is an Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian has been in the industry since August 19, 1985. Brian has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since April 1986 and is currently registered in Connecticut and Texas. Brian has a wide range of experience in the financial services industry and has earned a number of licenses and designations. Brian is a dedicated professional who is committed to helping clients achieve their financial goals.
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
CT
07/12/1990 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW CANAAN CT)
NA
08/20/1985 - 05/30/1986
TRAVELERS EQUITIES SALES, INC.
IA
Issued 02/08/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/17/1985
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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