Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Whitworth is a financial advisor at Hilltop Securities Inc. Brian is a Series 7, 63, 50, SIE and 79TO licensed professional with over 17 years of experience in the financial industry. He is a registered representative in Arizona, California, Florida, Rhode Island and Texas. Brian has worked at First Southwest Company, LLC and J.P. Morgan Securities Inc. in the past. Brian’s specializations include: Broker/Dealer, Corporate Finance, Investment Banking, Investment Advisory, and Securities.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
CA
01/22/2016 - Present
Hilltop Securities Inc. (Sherman Oaks CA)
CA
05/13/2009 - 01/22/2016
FIRST SOUTHWEST COMPANY, LLC (SANTA MONICA CA)
CA
08/16/2004 - 06/19/2008
J.P. MORGAN SECURITIES INC. (LOS ANGELES CA)
BOTH
Issued 01/08/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/12/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 08/14/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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