Brian C. Rees
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 Chester Rees, who also goes by Brian C Rees, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1994. Brian had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24 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
October 12, 2018 - February 1, 2019
LIBERTY WEALTH MANAGEMENT, LLC
October 21, 2008 - October 10, 2018
LIBERTY GROUP, LLC
March 14, 2005 - May 30, 2008
LIBERTY GROUP, LLC
March 14, 2005 - February 1, 2019
LIBERTY GROUP, LLC
July 8, 1997 - March 23, 2005
A. G. EDWARDS & SONS, INC.
May 2, 1997 - March 23, 2005
A. G. EDWARDS & SONS, INC.
June 28, 1995 - May 16, 1997
MORGAN STANLEY DW INC.
November 17, 1994 - August 28, 1995
AFD, INC.
Primary Firm SEC Registration
LIBERTY WEALTH MANAGEMENT, LLC
CRD#: 286001 / SEC#: 801-112351
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: 4/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LIBERTY WEALTH MANAGEMENT, LLC
CRD#: 286001 / SEC#: 801-112351
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,896 |
| AUM (Assets Under Management) | $ 1,469,902,558 |
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.
