Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Roome is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian has been in the financial industry since 2001. Brian is registered in 41 states and holds the Series 6, 7TO, 26, 63, and 65 licenses. Brian has experience working with a variety of clients, including individuals, corporations, and institutional investors. Brian provides a range of financial services, including investment management, financial planning, and retirement planning. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Brian worked at Guidestone Financial Services. Brian is committed to providing his clients with personalized financial advice and helping them 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.
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
02/27/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SOUTHLAKE TX)
TX
04/07/2009 - 02/14/2019
GUIDESTONE FINANCIAL SERVICES (DALLAS TX)
TX
03/28/2001 - 08/24/2009
PFPC DISTRIBUTORS, INC. (DALLAS TX)
IA
Issued 04/28/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/22/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 04/04/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2001
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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