John M. Brainerd
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.
John Martin Brainerd, who also goes by Marty Brainerd, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2018 - June 6, 2022
WESTWOOD WEALTH MANAGEMENT
September 9, 2010 - June 1, 2011
MORGAN STANLEY INVESTMENT ADVISORS INC.
September 9, 2010 - June 11, 2013
MORGAN STANLEY DISTRIBUTION, INC.
June 9, 2008 - August 18, 2010
SVB ASSET MANAGEMENT
June 9, 2008 - August 18, 2010
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
May 17, 2004 - October 31, 2007
BLACKROCK FUND ADVISORS
April 23, 2004 - October 31, 2007
BLACKROCK EXECUTION SERVICES
January 26, 2001 - March 4, 2004
BACAP DISTRIBUTORS, LLC
March 11, 1999 - January 26, 2001
STEPHENS
Primary Firm SEC Registration
WESTWOOD WEALTH MANAGEMENT
CRD#: 132162 / SEC#: 801-63410
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
WESTWOOD WEALTH MANAGEMENT
CRD#: 132162 / SEC#: 801-63410
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 490 |
| AUM (Assets Under Management) | $ 638,234,293 |
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.
