Brian C. Perkes

THORNBURG INVESTMENT MANAGEMENT

Frisco, TX

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CRD#: 2847414

Professional summary

Brian Carlyle Perkes is a registered financial advisor currently at THORNBURG INVESTMENT MANAGEMENT INC located in Frisco, Texas and THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)Name:Old Timer Properties, LLC Address:3765 Silver Oaks Lane Frisco, TX 75033 Nature:Rental Property Start:March 2011 Duties:Pay bills 1 hr month LLC that holds rental property. Managed by management company. Not investment related 2)Name:The Church Of Jesus Christ of Latter-day Saints Address:10400 Legacy Dr. Frisco, TX 75033 title:Stake Presidency 1st Counselor start:12/1/2020 time:5 hours a wk not business securities related. Volunteer local clergy at church. Help in organizing the weekly church meeting, activities and ministry.�No compensation. 3)Name:Rental Home Address:14504 N Asher Way Heber City, UT 84032 title:owner start:1/04/2021 time:Minimal. A property manager is managing the property. not business securities related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Carlyle Perkes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 10, 2025 - Present

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

Frisco, TX

Current

January 31, 2023 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506

CRD#: 14857

Santa Fe, NM

Past

April 4, 2018 - December 6, 2022

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

Frisco, TX

Past

March 15, 2018 - December 6, 2022

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

September 19, 2017 - March 7, 2018

CROSSMARK DISTRIBUTORS, INC.

CRD#: 14970

HOUSTON, TX

Past

September 13, 2000 - December 19, 2005

OFI PRIVATE INVESTMENTS INC

RIA

CRD#: 107807

NEW YORK, NY

Past

October 1, 1998 - June 27, 2017

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

February 26, 1997 - July 13, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 26, 1997 - July 13, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Michigan
(2/10/2025)

New Mexico
(2/6/2025)

Texas
(1/31/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/4/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/25/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

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Contact information

Main Address

2300 North Ridgetop Road, Santa Fe, NM 87506

Mailing Address

Phone number

(505) 467-7283

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE MARCH 31, 2022 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	705
AUM (Assets Under Management)	$ 45,288,445,586

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.

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Firm Stability Insights

Brian C. Perkes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Carlyle Perkes's CRS (Customer Relationship Summary).

Certified licenses

Experience

THORNBURG SECURITIES LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

CROSSMARK DISTRIBUTORS, INC.

OFI PRIVATE INVESTMENTS INC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THORNBURG INVESTMENT MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2018

Series 63

Date: 4/18/1997

SIE

Date: 10/1/2018

Series 7

Date: 2/25/1997

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THORNBURG INVESTMENT MANAGEMENT INC

TRUST BUT VERIFY

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