Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Elliott is a financial advisor with over 30 years of experience in the industry. Brian is currently registered with Genter Capital Management and holds Series 63, 65, 7 and SIE licenses. Brian has a diverse background, having previously worked with firms such as Northern Trust Securities, Inc., BNY ConvergEx Execution Solutions LLC, VP Distributors Inc, and John Nuveen & Co., Incorporated. Brian's experience spans various roles, including SVP and Director of the Institutional Division at Genter Capital Management. Brian has been actively involved in direct sales and marketing activities for the Institutional Division at Genter Capital Management. Brian is registered in 51 states and the District of Columbia, as well as in California as an Investment Advisor Representative (IAR). Brian is actively involved in the financial services industry, holding various positions in different firms throughout the years.
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.
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.
Provide model portfolio recommendations to other investment advisers.
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.
A percentage of the total value of assets under management is charged.
One time initial set-up fee of $250
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2
CA
07/17/2012 - Present
Genter Capital Management (LOS ANGELES CA)
WI
05/09/2012 - 12/31/2012
GRAND DISTRIBUTION SERVICES, LLC (MILWAUKEE WI)
CA
05/23/2011 - 02/22/2012
NORTHERN TRUST SECURITIES, INC. (LOS ANGELES CA)
NY
03/02/2010 - 03/28/2011
BNY CONVERGEX EXECUTION SOLUTIONS LLC (NEW YORK NY)
CA
06/30/2004 - 03/15/2010
VP DISTRIBUTORS INC (LOS ANGELES CA)
TN
04/29/2002 - 03/12/2004
ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. (NASHVILLE TN)
CA
03/31/1999 - 05/21/2002
KA ASSOCIATES, INC. (LOS ANGELES CA)
CT
02/01/1999 - 02/11/1999
PILGRIM SECURITIES, INC. (WINDSOR CT)
CA
05/15/1996 - 01/29/1999
NICHOLAS-APPLEGATE SECURITIES (A CALIFORNIA LIMITED PARTNERSHIP) (SAN DIEGO CA)
IL
02/23/1993 - 05/13/1996
JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)
IA
Issued 06/10/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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