Brett V. Niven

BEACH CITIES WEALTH MANAGEMENT

MANHATTAN BEACH, CA 90266

CRD#: 3120871

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Professional summary

Brett Van Cott Niven is a registered financial advisor currently at BEACH CITIES WEALTH MANAGEMENT, LLC located in Manhattan Beach, California.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brett has worked at 5 firms and has passed the Series 65, Series 63, Series 31 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Van Cott Niven'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®

None

Experience

Current

July 1, 2011 - Present

BEACH CITIES WEALTH MANAGEMENT, LLC

Office #1: 1220 Highland Avenue, Manhattan Beach, CA 90266

RIA

CRD#: 158373

MANHATTAN BEACH, CA

Past

August 9, 2019 - March 22, 2020

BVCN ADVISORY SERVICES, LLC

RIA

CRD#: 304798

VAN NUYS, CA

Past

January 2, 2009 - July 6, 2011

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

MANHATTAN BEACH, CA

Past

January 9, 2003 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

MANAHATTAN BEACH, CA

Past

December 2, 2002 - July 6, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MANAHATTAN BEACH, CA

Past

March 18, 1999 - November 25, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LOS ANGELES, CA

Past

October 20, 1998 - November 25, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

California
(7/1/2011)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/4/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 11/9/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/15/1998

General Securities Representative Examination

Current Firm

BEACH CITIES WEALTH MANAGEMENT, LLC

BEACH CITIES WEALTH MANAGEMENT | BEACH CITIES WEALTH MANAGEMENT, LLC

CRD#: 158373 / SEC#: 801-72556

RIA

Registered Investment Advisory firm - (4/16/2012 Terminated)

California

Registered Investment Advisory firm - (4/13/2012 Approved)

Texas

Registered Investment Advisory firm - (4/17/2017 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1500 W. Balboa Blvd #202a, Newport Beach, CA 92663

Mailing Address

Phone number

(310) 546-1399

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	162
AUM (Assets Under Management)	$ 99,341,637

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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Advisor Monitoring

Firm Stability Insights

Brett V. Niven

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Van Cott Niven's CRS (Customer Relationship Summary).

Certified licenses

Experience

BVCN ADVISORY SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/1998

Series 63

Date: 10/23/1998

Series 31

Date: 11/9/1998

Series 7

Date: 10/15/1998

Current Firm

BEACH CITIES WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BEACH CITIES WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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