Brian D. Jessen
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.
Brian David Jessen, who also goes by Brian D Jessen, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2019 - March 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 2019 - March 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2011 - May 31, 2019
INVESCO ADVISERS, INC.
June 1, 2010 - May 31, 2019
INVESCO DISTRIBUTORS, INC.
May 5, 2008 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
June 10, 2003 - March 7, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 21, 2001 - April 9, 2002
DIRECTED SERVICES LLC
December 18, 1998 - September 24, 2001
VOYA FINANCIAL PARTNERS, LLC
August 19, 1992 - December 31, 1996
SECURITIES AMERICA, INC.
October 18, 1989 - March 19, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 4, 1988 - October 24, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
June 20, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 20, 1984 - January 22, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
