Brian R. Panessa
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 Robert Panessa was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1993. Brian had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2014 - October 18, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 17, 2014 - October 18, 2017
TD AMERITRADE, INC.
June 19, 2014 - October 18, 2017
TD AMERITRADE, INC.
April 1, 2011 - May 23, 2011
RETIREMENT CAPITAL GROUP SECURITIES, INC.
February 21, 2002 - January 28, 2009
NEWPORT GROUP SECURITIES, INC.
August 16, 2000 - January 29, 2002
CIBC WORLD MARKETS CORP.
March 25, 1999 - November 19, 1999
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
March 31, 1998 - July 17, 1998
PRUDENTIAL EQUITY GROUP, LLC
January 1, 1997 - April 3, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 16, 1996 - January 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
April 26, 1994 - April 17, 1996
PRUCO SECURITIES, LLC.
January 12, 1993 - October 14, 1993
METROPOLITAN LIFE INSURANCE COMPANY
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 8
Date: 5/29/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
