BL
Brian W. Low
BRIAN LOW FINANCIAL GROUP
BATON ROUGE, LA 70809
Some features on this profile are disabled
CRD#: 3097163
BL
Professional summary
Brian Wesley Low is a registered financial advisor currently at BRIAN LOW FINANCIAL GROUP, LLC located in Baton Rouge, Louisiana.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brian has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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: BRIAN LOW FINANCIAL GROUP; INV RELATED:YES; ADDRESS:4463 BLUEBONNET BLVD., SUITE B, BATON ROUGE, LA 70810; NATURE:INSURANCE; POSITION:OWNER; START DATE:5/2/2007; HOURS/MONTH:160; TRADING HOURS/MONTH:160; DUTIES:SELL ANNUITIES
2.NAME:REAL ESTATE ; INV RELATED:NO; ADDRESS:11066 HILLPARK AVE BATON ROUGE, LA 70810, 11114 HILLPARK AVE BATON ROUGE, LA 70810; NATURE:REAL ESTATE; POSITION:OWNER; START DATE:12/1998; HOURS/MONTH:8; TRADING HOURS/MONTH:0; DUTIES:RENT HOUSE
3.NAME: ADVISORS EXCEL; INV RELATED:YES; ADDRESS:2950 SW MCCLURE ROAD TOPEKA, KS 66614; NATURE:ANNUITY+LIFE MARKETING FIRM; POSITION:AGENT; START DATE:2012; HOURS/MONTH:160; TRADING HOURS/MONTH:160; DUTIES:AGENT-SALES
4.NAME: LOW MARKETING; INV RELATED:NO; ADDRESS:4463 BLUEBONNET BLVD., SUITE B, BATON ROUGE, LA 70810 NATURE:MARKETING EVENTS, SEMINARS; POSITION:OWNER; START DATE:11/8/2017; HOURS/MONTH:40; TRADING HOURS/MONTH:40; DUTIES:BUSINESS OWNER
5.NAME: LOW BUILDERS; INV RELATED:NO; ADDRESS:4463 BLUEBONNET BLVD., SUITE B, BATON ROUGE, LA 70810; NATURE: PROPERTY OWNER (1 PROPERTY LEFT, WILL BE CLOSING ON WITHIN A YEAR. NO ACTIVE BUSINESS); POSITION:OWNER; START DATE:5/1/1998; HOURS/MONTH:0; TRADING HOURS/MONTH:0; DUTIES: PROPERTY OWNER
6.NAME: LOW RISK MANAGEMENT, LLC; INV RELATED:NO; ADDRESS:4463 BLUEBONNET BLVD., SUITE B, BATON ROUGE, LA 70810; NATURE:RISK MANAGEMENT ; POSITION:PRESIDENT; START DATE:3/19/2018; HOURS/MONTH:0; TRADING HOURS/MONTH:0; DUTIES:PRESIDENT
7.NAME: LOW HOLDINGS, LLC; INV RELATED:NO; ADDRESS:4463 BLUEBONNET BLVD., SUITE B, BATON ROUGE, LA 70810; NATURE:REAL ESTATE; START DATE:4/9/2018; HOURS/MONTH:20; TRADING HOURS/MONTH:20; DUTIES:PRESIDENT, OVERSEE REAL ESTATE HOLDING COMPANY.
8.NAME:LOW LEASING, LLC; INV RELATED:NO; ADDRESS:4463 BLUEBONNET BLVD., SUITE B, BATON ROUGE, LA 70810; NATURE:LEASE AGREEMENT; POSITION:PRESIDENT; START DATE:8/31/2018; HOURS/MONTH:0; TRADING HOURS/MONTH: NO; DUTIES:HOLDS MY CAR
9. NAME: SMOOTHIE KING 1117; INV RELATED: NO; ADDRESS: 3057 DAUPHIN ST. MOBILE, AL 36606; NATURE: SELL SMOOTHIE'S; POSITION: SILENT PARTNER; START DATE: 9/2019; HOURS/MONTH: 0; TRADING HOURS/MONTH: NO; DUTIES: SILENT PARTNER
10.NAME: BRIAN LOW FINANCIAL GROUP REGISTERED INVESTMENT ADVISOR; INV RELATED:YES; ADDRESS:4463 BLUEBONNET BLVD., SUITE B, BATON ROUGE, LA 70810; NATURE:BRIAN LOW FINANCIAL GROUP, LLC HAS ADOPTED THE FOLLOWING POLICIES AND PROCEDURES FOR COMPLIANCE AS A REGISTERED INVESTMENT ADVISER; POSITION:OWNER, IAR; START DATE:01/012020; HOURS/MONTH:80; TRADING HOURS/MONTH:80; DUTIES:OWNER/IAR-PROVIDE FINANCIAL ADVISE
CRS (Client Relationship Summary) - RIA
Click below to view Brian Wesley Low's 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®
NoneExperience
Current
December 12, 2019 - Present
BRIAN LOW FINANCIAL GROUP, LLC
Office #1: 4463 Bluebonnet Blvd Suite B, Baton Rouge, LA 70809RIA
CRD#: 306346
BATON ROUGE, LA
Past
June 12, 2017 - December 22, 2020
MADISON AVENUE SECURITIES, LLC
RIA
CRD#: 23224
Baton Rouge, LA
Past
June 12, 2017 - November 4, 2021
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
Baton Rouge, LA
Past
October 29, 2008 - June 9, 2017
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
BATON ROUGE, LA
Past
October 29, 2008 - June 9, 2017
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
BATON ROUGE, LA
Past
May 21, 2007 - October 30, 2008
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
BATON ROUGE, LA
Past
May 21, 2007 - October 30, 2008
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
BATON ROUGE, LA
Past
January 19, 2007 - May 24, 2007
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BATON ROUGE, LA
Past
January 1, 2004 - May 24, 2007
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BATON ROUGE, LA
Past
July 11, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
September 1, 1998 - May 23, 2002
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
July 27, 1998 - August 21, 1998
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
BL
BRIAN LOW FINANCIAL GROUP, LLC
BRIAN LOW FINANCIAL GROUP, LLC
CRD#: 306346 / SEC#: 801-126895
RIA
Registered Investment Advisory firm - (11/17/2022 Approved)Louisiana
Registered Investment Advisory firm - (11/22/2022 Terminated)Texas
Registered Investment Advisory firm - (11/18/2022 Terminated)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.Highlighted states indicate IAR registrations
IAR
Louisiana(12/12/2019)
IAR
Texas(1/27/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BL
BRIAN LOW FINANCIAL GROUP, LLC
BRIAN LOW FINANCIAL GROUP, LLC
CRD#: 306346 / SEC#: 801-126895
RIA
Registered Investment Advisory firm - (11/17/2022 Approved)Louisiana
Registered Investment Advisory firm - (11/22/2022 Terminated)Texas
Registered Investment Advisory firm - (11/18/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4463 Bluebonnet Boulevard Suite B, Baton Rouge, LA 70809
Mailing Address
Phone number
(225) 292-4225
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 809 |
| AUM (Assets Under Management) | $ 184,209,925 |
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.
Company Information
BRIAN LOW FINANCIAL GROUP, LLC
CRD#: 306346Baton Rouge, LA 70809TRUST BUT VERIFY
Monitor Brian Low
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
