linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

David Aaron Rios

Brownstone Investment Group, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you David? Claim Your Profile

About David Aaron Rios

David Aaron Rios is a financial advisor registered with Brownstone Investment Group, LLC. David has been in the securities industry since 2008 and has a strong background in financial markets. David has a Series 7 and Series 63 license, and is registered in New York. David has prior experience with several large investment banks, including Piper Jaffray & Co., BNY Mellon Capital Markets, LLC, Ally Securities LLC, Cantor Fitzgerald & Co., BNP Paribas Securities Corp., HSBC Securities (USA) Inc., Nomura Securities International, Inc., and Credit Suisse First Boston LLC.

Firm Information

David Rios is currently registered with Brownstone Investment Group, LLC. Brownstone Investment Group, LLC is a Limited Liability Company formed in January 1997 and approved to operate in 19 states. They are registered with the Securities and Exchange Commission (SEC) and have a total of 19 state registrations, including California, Colorado, Connecticut, Florida, Georgia, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, and Washington.

Not reported

Assets Under Management

Not reported

Total Clients

8

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

David Rios’s Registration & Firm History

NY

07/05/2022 - Present

Brownstone Investment Group, LLC (NEW YORK NY)

NY

09/30/2015 - 02/03/2016

PIPER JAFFRAY & CO. (NEW YORK NY)

NY

07/13/2012 - 05/19/2015

BNY MELLON CAPITAL MARKETS, LLC (NEW YORK NY)

MI

01/09/2012 - 05/31/2012

ALLY SECURITIES LLC (DETROIT MI)

NY

11/25/2009 - 12/15/2011

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

01/04/2008 - 01/07/2010

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

06/08/2006 - 09/27/2007

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

NY

07/06/2004 - 05/04/2006

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

10/31/2000 - 07/02/2004

CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)

Not sure if David Aaron Rios is right for you?

Licenses & Designations

BC

Issued 08/01/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/02/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/30/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Aaron Rios.
Not sure if David Aaron Rios is right for you?