Dean Brierley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dean Brierley, who also goes by Dean Robert Brierley, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1984. Dean had worked at 9 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2022 - May 28, 2026
FIDELITY BROKERAGE SERVICES LLC
August 1, 2017 - September 23, 2021
WELLS FARGO SECURITIES, LLC
September 20, 2006 - August 30, 2017
WELLS FARGO PRIME SERVICES, LLC
September 26, 2002 - October 20, 2006
BANC OF AMERICA SECURITIES LLC
September 1, 1998 - July 25, 2002
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
November 3, 1993 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
January 12, 1989 - October 19, 1993
LEHMAN BROTHERS INC.
November 5, 1984 - October 19, 1993
LEHMAN BROTHERS INC.
February 24, 1984 - November 19, 1984
WOODMAN, KIRKPATRICK & GILBREATH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 7/6/2022
General Securities Representative ExaminationSeries 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
