Unclaimed
Brian Keith Pangburn is a financial advisor with over 35 years of experience in the industry. Brian has been registered with Morgan Stanley since 2009 and previously worked with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Brian holds a variety of licenses and certifications including Series 7, 9, 10, 31, 63, and 65. Brian specializes in providing financial planning, investment management, and asset allocation advice to individuals, families, businesses, and institutions. Brian is also a guitarist for various bands and has a long history of community involvement.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
OH
11/23/2009 - Present
Morgan Stanley (Cincinnati OH)
KY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (EDGEWOOD KY)
KY
06/12/1987 - 04/02/2007
MORGAN STANLEY DW INC. (EDGEWOOD KY)
NA
10/24/1986 - 06/23/1987
NEW ENGLAND SECURITIES CORPORATION
IA
Issued 03/19/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/25/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/09/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 10/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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