Brian D. Cose
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 David Cose, CFP®, who also goes by Brian D Cose, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2003
Experience
November 6, 2020 - May 10, 2022
AVANTAX ADVISORY SERVICES
September 30, 2020 - May 10, 2022
AVANTAX INVESTMENT SERVICES, INC.
October 26, 2000 - June 19, 2023
AVANTAX PLANNING PARTNERS, INC.
October 18, 2000 - September 30, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 16, 2000 - October 16, 2000
LPL FINANCIAL LLC
November 30, 1999 - February 16, 2000
PFIC SECURITIES CORPORATION
June 26, 1998 - November 30, 1999
MAGNA INVESTMENTS
September 19, 1997 - June 11, 1998
CETERA WEALTH SERVICES, 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
