Unclaimed
Brian Vincent Testa is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian is a Series 7 and Series 66 licensed representative. Brian has experience in the financial services industry since January 11, 2009, working for various firms such as J.P. Morgan Securities LLC and Wells Fargo Investments, LLC. Brian is currently registered in Arizona, California, Florida, Idaho, Nevada, Oregon, Texas, and Utah. Brian has been with Merrill Lynch since November 2015.
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
NV
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAS VEGAS NV)
NV
10/01/2012 - 09/24/2015
J.P. MORGAN SECURITIES LLC (HENDERSON NV)
NV
08/10/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (LAS VEGAS NV)
NV
11/08/2006 - 08/19/2009
WELLS FARGO INVESTMENTS, LLC (LAS VEGAS NV)
BOTH
Issued 01/31/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2006
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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