Brian J. Brady
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 James Brady was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 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
Experience
June 1, 2015 - May 10, 2017
AVANTAX ADVISORY SERVICES
January 8, 2015 - May 10, 2017
AVANTAX INVESTMENT SERVICES, INC.
May 28, 2009 - October 11, 2013
NEW ENGLAND SECURITIES
April 14, 2009 - October 11, 2013
NEW ENGLAND SECURITIES
January 5, 2006 - February 4, 2009
1ST GLOBAL ADVISORS INC
January 5, 2006 - February 4, 2009
1ST GLOBAL CAPITAL CORP.
January 27, 2005 - December 9, 2005
PRUCO SECURITIES, LLC.
October 27, 2004 - January 6, 2005
WALNUT STREET SECURITIES, INC.
January 16, 2002 - January 6, 2005
WALNUT STREET ADVISERS INC
December 22, 1999 - January 6, 2005
WALNUT STREET SECURITIES, INC.
March 24, 1999 - December 22, 1999
METROPOLITAN LIFE INSURANCE COMPANY
March 24, 1999 - December 22, 1999
MSI FINANCIAL SERVICES, INC.
October 15, 1998 - March 15, 1999
AVANTAX INVESTMENT SERVICES, INC.
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.
