Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Shobert is a financial advisor with Wells Fargo Clearing Services, LLC. Brian has over 23 years of experience in the financial services industry. He is a registered representative and investment advisor representative in the state of North Carolina. Brian holds the Series 7, Series 9, Series 10, Series 52, Series 63, Series 65, Series 99TO, and SIE licenses. Brian's previous employment includes positions at Prudential Securities Incorporated, Nationwide Securities, Inc., and H&R Block Financial Advisors, Inc. Brian specializes in providing financial planning, investment consulting services, and portfolio management to individuals, families, and businesses. Brian is committed to providing his clients with personalized financial advice and helping them 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.
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.
Investment consulting services to institutional clients
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
NC
02/16/2007 - Present
Wells Fargo Clearing Services, LLC (RALEIGH NC)
NY
05/15/2003 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
OH
06/19/2002 - 05/28/2003
NATIONWIDE SECURITIES, INC. (COLUMBUS OH)
MI
02/23/1999 - 06/18/2002
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
IA
Issued 02/15/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/06/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/1999
Series 7 - General Securities Representative Examination
BC
Issued 02/22/1999
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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