Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Mauthe is an active investment advisor registered with the Securities and Exchange Commission (SEC) and has been in the industry since 2011. Brian Mauthe is currently associated with J.p. Morgan Securities LLC, which is registered with the SEC. Brian Mauthe has been with J.p. Morgan Securities LLC since March 2023. Previously, Brian Mauthe was affiliated with CITI PRIVATE ADVISORY, LLC, CITIGROUP GLOBAL MARKETS INC., PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP and FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC..
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.
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.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
04/03/2023 - Present
J.p. Morgan Securities LLC (New York NY)
NY
03/28/2017 - 04/04/2023
CITI PRIVATE ADVISORY, LLC (New York NY)
NY
07/19/2013 - 04/04/2023
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MA
02/01/2012 - 07/08/2013
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (ANDOVER MA)
RI
08/11/2011 - 01/03/2012
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 09/04/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 08/10/2011
Series 7 - General Securities 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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