Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Warden is a financial professional with over 20 years of experience in the financial services industry. Brian has a strong background in investments, financial planning, and wealth management. Brian is currently a registered representative with Wells Fargo Securities, LLC, and has held previous positions with Sprott Global Resource Investments Ltd, RBC Capital Markets, LLC, Ameriprise Financial Services, Inc., RBC Dain Rauscher Inc., and Lutheran Brotherhood Securities Corp. Brian is licensed to sell securities in all 50 states and the District of Columbia.
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.
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.
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2
AZ
01/02/2014 - Present
Wells Fargo Securities, LLC (Scottsdale AZ)
CA
02/14/2012 - 10/02/2012
SPROTT GLOBAL RESOURCE INVESTMENTS LTD (CARLSBAD CA)
MN
09/04/2007 - 10/20/2011
RBC CAPITAL MARKETS, LLC (MINNEAPOLIS MN)
MN
06/02/2006 - 08/08/2007
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
NY
12/20/2001 - 03/02/2006
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MN
03/02/2001 - 12/11/2001
LUTHERAN BROTHERHOOD SECURITIES CORP. (MINNEAPOLIS MN)
BC
Issued 07/17/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/2010
Series 7 - General Securities Representative Examination
BC
Issued 03/01/2001
Series 6 - Investment Company Products/Variable Contracts 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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