Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Bothe is a financial advisor who has been in the industry since June 2015. Brian is currently registered with LPL Enterprise, LLC and has been with them since December 2024. Prior to that, Brian was with Merrill Lynch, Pierce, Fenner & Smith Incorporated from May 2019 until May 2021. Brian has a broad background in the financial services industry, having worked at a variety of firms. Brian has also served as a financial advisor at Citigroup Investment Services, Chevy Chase Financial Services and Morgan Stanley DW INC. Brian holds a Series 63, Series 65, Series 66, and Series 7 license. Brian provides consulting and other non-discretionary advisory services, financial planning, educational seminars, portfolio management for businesses, and portfolio management for individuals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
A percentage of the total value of assets under management is charged.
1
2
NJ
12/06/2024 - Present
LPL Enterprise, LLC (BASKING RIDGE NJ)
NJ
08/12/2019 - 05/04/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FLORHAM PARK NJ)
NY
05/11/2004 - 02/07/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MD
01/23/2004 - 05/10/2004
CHEVY CHASE FINANCIAL SERVICES (BETHESDA MD)
NY
08/03/2001 - 01/20/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
12/10/1997 - 11/30/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 09/24/2019
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/12/2019
Series 7TO - General Securities Representative Examination
BC
Issued 06/28/2019
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 12/08/1997
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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