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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 Fleming is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian has been in the financial industry since 2009 and is licensed to provide investment advice in several states. Brian has several designations and has completed a variety of exams, including the Series 7, Series 6, Series 63, Series 55, Series 10, Series 9, and the SIE exam. Brian specializes in providing a variety of investment advice and services to individuals, businesses, and institutions. Brian has a history of working with clients in California and Colorado and is currently registered in both of these states.
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
TX
12/18/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN ANTONIO TX)
CA
01/26/2017 - 12/11/2017
BANCWEST INVESTMENT SERVICES, INC. (DOWNEY CA)
CO
03/05/2010 - 10/12/2016
CHARLES SCHWAB & CO., INC. (LONE TREE CO)
CO
08/27/2008 - 11/30/2009
PRUCO SECURITIES, LLC. (ENGLEWOOD CO)
IA
Issued 3/3/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/2/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/9/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 9/10/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/16/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 3/4/2010
Series 7 - General Securities Representative Examination
BC
Issued 8/26/2008
Series 6 - Investment Company Products/Variable Contracts 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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