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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 Robertson is a financial advisor at Maxim Financial Advisors LLC, where he has been working since May 2018. He provides financial advice to individuals, corporations, and other businesses. Brian has been in the industry since November 2004 and is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). He has earned several industry credentials, including the Series 7, Series 31, and Series 65 licenses. Brian also holds the SIE exam for investment banking and a state license. He has previously worked at Laidlaw & Co (UK) Ltd, AEGIS CAPITAL CORP., MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC., in various roles. Brian is passionate about helping clients achieve their financial goals.
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.
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.
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NY
11/29/2021 - Present
Maxim Financial Advisors LLC (NEW YORK NY)
NY
10/27/2010 - 06/14/2018
LAIDLAW & COMPANY (UK) LTD. (NEW YORK NY)
NY
01/11/2010 - 11/16/2010
AEGIS CAPITAL CORP. (NEW YORK NY)
NY
06/01/2009 - 01/21/2010
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
01/12/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/11/2004 - 01/26/2007
CASIMIR CAPITAL L.P. (NEW YORK NY)
IA
Issued 11/27/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/2004
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 03/04/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 11/10/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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