Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileAdvisors 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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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TX
04/18/2018 - Present
Charles Schwab & CO., Inc. (Westlake TX)
NY
06/21/2016 - 12/26/2017
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
05/26/2015 - 06/03/2016
CITADEL SECURITIES LLC (NEW YORK NY)
NY
04/15/2013 - 05/04/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/30/2012 - 02/15/2013
COWEN AND COMPANY (NEW YORK NY)
NY
02/02/2012 - 06/28/2012
THE PRINCERIDGE GROUP LLC (NEW YORK NY)
IL
04/27/2011 - 01/30/2012
RONIN CAPITAL, LLC (CHICAGO IL)
NY
04/12/2007 - 05/14/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/21/2005 - 03/02/2007
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IL
03/03/2003 - 06/17/2004
ASSENT LLC (BOLINGBROOK IL)
NY
12/17/2002 - 03/03/2003
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
12/23/1998 - 02/06/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 2/2/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/9/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/2/2016
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/23/2017
Series 52 - Municipal Securities Representative Examination
BC
Issued 5/7/2013
Series 3 - National Commodity Futures Examination
BC
Issued 3/12/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 2/1/2012
Series 7 - General Securities Representative Examination
BC
Issued 10/14/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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