Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Dube is an investment advisor representative with Oppenheimer & Co. Inc. Brian has been in the industry since 1993. Brian has passed the Series 7, Series 63, Series 4, Series 9, Series 10, Series 65, and SIE exams. Brian is registered in several states, including California, Colorado, Connecticut, Delaware, Florida, Georgia, Idaho, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, and Wisconsin. Brian's previous employers include CIBC WORLD MARKETS CORP., PAINEWEBBER INCORPORATED, DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION, and ALEX. BROWN & SONS INCORPORATED.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
06/13/2016 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
09/06/1996 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NJ
03/13/1996 - 09/17/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NJ
12/02/1993 - 10/03/1995
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
02/22/1993 - 10/04/1993
ALEX. BROWN & SONS INCORPORATED
NJ
01/25/1993 - 02/09/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 06/29/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/28/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/27/1995
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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