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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 Suozzi is a financial advisor with Wells Fargo Clearing Services, LLC. Brian has been in the industry since June 22, 1986 and has worked for several firms including UBS Financial Services Inc., A. G. Edwards & Sons, Inc., and David Lerner Associates, Inc. Brian is registered to provide financial advice in multiple states including Connecticut, Texas, California, Arizona, Florida, Maryland, Massachusetts, New Jersey, New York, and South Carolina. Brian is licensed in the following areas: securities, investment advisory, and municipal securities. Brian holds the Series 6, 7, 52, 63, and 65 licenses.
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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
CT
06/19/2017 - Present
Wells Fargo Clearing Services, LLC (WESTPORT CT)
CT
09/26/2008 - 12/09/2016
WELLS FARGO ADVISORS (OLD GREENWICH CT)
CT
03/30/2001 - 10/03/2008
UBS FINANCIAL SERVICES INC. (GREENWICH CT)
MO
11/18/1992 - 04/04/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
02/26/1986 - 11/23/1992
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
IA
Issued 12/13/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/28/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1986
Series 7 - General Securities Representative Examination
BC
Issued 09/07/1984
Series 52 - Municipal Securities Representative Examination
BC
Issued 08/16/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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