Brett N. Sizemore
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.
Brett Nolan Sizemore was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1988. Brett had worked at 15 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 22, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2014 - February 8, 2017
BOSTON HARBOR INVESTMENT MANAGEMENT
January 3, 2012 - August 18, 2014
SCHWAB WEALTH ADVISORY, INC.
September 21, 2010 - December 31, 2011
CHARLES SCHWAB & CO., INC.
September 21, 2010 - August 18, 2014
CHARLES SCHWAB & CO., INC.
October 1, 2008 - June 30, 2009
WFG ADVISORS, LP
September 19, 2008 - June 30, 2009
WFG INVESTMENTS, INC.
August 1, 2006 - November 20, 2006
WFG ADVISORS, LP
July 18, 2006 - November 20, 2006
WFG INVESTMENTS, INC.
May 4, 2006 - July 20, 2006
EDWARD JONES
April 21, 2006 - July 20, 2006
EDWARD JONES
April 17, 2006 - April 21, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 21, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 1, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 10, 1998 - May 4, 2001
RBC CAPITAL MARKETS, LLC
June 3, 1994 - July 31, 1998
PIPER SANDLER & CO.
May 30, 1992 - June 10, 1994
BA INVESTMENT SERVICES, INC.
May 18, 1991 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
January 25, 1990 - May 23, 1991
THE ROBINSON-HUMPHREY COMPANY, LLC
March 21, 1989 - February 6, 1990
LEHMAN BROTHERS INC.
August 2, 1988 - April 4, 1989
NYLIFE SECURITIES LLC
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
Current Firm
BOSTON HARBOR INVESTMENT MANAGEMENT
CRD#: 165554 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 16,529,748 |
Red Flags
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