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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 working in the financial industry since March 19, 2009. Brian is registered in 53 states and the District of Columbia as a broker-dealer, and in 2 states as an investment advisor. Brian's expertise includes a variety of specializations. Brian's previous employment includes Charles Schwab & Co., Inc. and BANCWEST INVESTMENT SERVICES, INC.. Brian has also held positions at Bank of the West, Bank of America, N.A. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
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 03/03/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/09/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/10/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/04/2010
Series 7 - General Securities Representative Examination
BC
Issued 08/26/2008
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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