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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Gazia is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian has been in the financial industry since July 16, 2000. Brian is registered with the state of New Jersey and has been active in both broker-dealer and investment advisor roles. Brian has also been registered as a resident investment advisor in the state of Texas. Brian has a broad base of experience in the industry and has a variety of credentials including the Series 3, 7, 9, 10, 63 and 66 securities licenses. Brian holds the SIE license as well. Brian is an experienced advisor with a long history of success in the industry.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
01/28/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RED BANK NJ)
CT
07/17/2000 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
BOTH
Issued 02/25/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/27/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2010
Series 3 - National Commodity Futures Examination
BC
Issued 07/15/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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