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Brian C Maute

BARINGS SECURITIES

CHARLOTTE, NC

·CRD# 2929953·29 years experience

Professional Summary

Brian C Maute, who also goes by Brian Christopher Maute, is a registered financial advisor currently at BARINGS SECURITIES LLC located in Charlotte, North Carolina. Brian is registered as a RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Brian Christopher Maute

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

29 years in the financial services industry

Current & Past Employments

BARINGS SECURITIES LLC·CRD# 36929

BD

300 S. Tryon Street Suite 2500, Charlotte, NC 28202

August 19, 2026 - Present

DWS DISTRIBUTORS, INC.·CRD# 37306

BD

Chicago, IL

May 9, 2011 - August 18, 2026

INVESCO ADVISERS, INC.·CRD# 105360

RIA

Atlanta, GA

June 14, 2010 - May 4, 2011

INVESCO DISTRIBUTORS, INC.·CRD# 7369

BD

Oakbrook Terrace, IL

June 1, 2010 - May 4, 2011

VAN KAMPEN ADVISORS INC·CRD# 104703

RIA

Oakbrook Terrace, IL

June 4, 2008 - August 6, 2010

INVESCO CAPITAL MARKETS, INC.·CRD# 6939

BD

Houston, TX

September 3, 1998 - May 4, 2011

AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979

BD

Detroit, MI

August 11, 1997 - June 23, 1998

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Current Firm

BS

BARINGS SECURITIES LLC

BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC

CRD#: 36929 / SEC#: 8-47589

BD

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Contact Information

Main Address

300 S. Tryon Street Suite 2500, Charlotte, NC 28202

Mailing Address

300 S. Tryon Street Suite 2500, Charlotte, NC 28202

Phone Number

(704) 805-7200

Established

Delaware since 01/01/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
BARINGS LLC	DIRECT OWNER	106006
LOGAN, MELISSA GILBERT	DIRECTOR	8327184
MAUTE, BRIAN C	PRESIDENT	2929953
MEYER, WILLIAM JEFFREY	FINOP	2930231
TAWA, DEREK MICHAEL	CHIEF COMPLIANCE OFFICER	3054098

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

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

RR

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

RR

Alabama
(8/19/2026)

RR

Alaska
(8/19/2026)

RR

Arizona
(8/19/2026)

RR

Arkansas
(8/19/2026)

RR

California
(8/19/2026)

RR

Colorado
(8/19/2026)

RR

Connecticut
(8/19/2026)

RR

Delaware
(8/19/2026)

RR

District of Columbia
(8/19/2026)

RR

Florida
(8/19/2026)

RR

Georgia
(8/19/2026)

RR

Hawaii
(8/19/2026)

RR

Idaho
(8/19/2026)

RR

Illinois
(8/19/2026)

RR

Indiana
(8/19/2026)

RR

Iowa
(8/19/2026)

RR

Kansas
(8/19/2026)

RR

Kentucky
(8/19/2026)

RR

Louisiana
(8/19/2026)

RR

Maine
(8/19/2026)

RR

Maryland
(8/19/2026)

RR

Massachusetts
(8/19/2026)

RR

Michigan
(8/19/2026)

RR

Minnesota
(8/19/2026)

RR

Mississippi
(8/19/2026)

RR

Missouri
(8/19/2026)

RR

Montana
(8/19/2026)

RR

Nebraska
(8/19/2026)

RR

Nevada
(8/19/2026)

RR

New Hampshire
(8/19/2026)

RR

New Jersey
(8/19/2026)

RR

New Mexico
(8/19/2026)

RR

New York
(8/19/2026)

RR

North Carolina
(8/19/2026)

RR

North Dakota
(8/19/2026)

RR

Ohio
(8/19/2026)

RR

Oklahoma
(8/19/2026)

RR

Oregon
(8/19/2026)

RR

Pennsylvania
(8/19/2026)

RR

Rhode Island
(8/19/2026)

RR

South Carolina
(8/19/2026)

RR

South Dakota
(8/19/2026)

RR

Tennessee
(8/19/2026)

RR

Texas
(8/19/2026)

RR

Utah
(8/19/2026)

RR

Vermont
(8/19/2026)

RR

Virginia
(8/19/2026)

RR

Washington
(8/19/2026)

RR

West Virginia
(8/19/2026)

RR

Wisconsin
(8/19/2026)

RR

Wyoming
(8/19/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2008About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1997About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1997About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Aug 1997About the Series 52 exam

Series 24 — General Securities Principal Examination

Passed Jun 2001About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Brian C Maute's CRS (Customer Relationship Summary).

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BM

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