Brett S. Kleese
Professional summary
Brett Sterling Kleese was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brett is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Brett had worked at 4 firms, which includes INVESTMENT ADVISORS INTERNATIONAL INC., TRANSAMERICA FINANCIAL ADVISORS LLC, WORLD GROUP SECURITIES INC., WMA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2006 - July 22, 2008
INVESTMENT ADVISORS INTERNATIONAL, INC.
February 27, 2006 - September 5, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - May 22, 2008
WORLD GROUP SECURITIES, INC.
March 5, 1998 - April 12, 2002
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTMENT ADVISORS INTERNATIONAL, INC.
CRD#: 139233 / SEC#: 801-66681
Contact information
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