Brian N. Mulberry
Professional summary
Brian Nielsen Mulberry is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Littleton, Colorado and LBMZ SECURITIES, INC. located in Chicago, Illinois.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 13 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Nielsen Mulberry's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2018 - Present
ZACKS INVESTMENT MANAGEMENT, INC.
February 20, 2018 - Present
LBMZ SECURITIES, INC.
Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606October 3, 2016 - November 20, 2017
ALLEGIS INVESTMENT SERVICES, LLC
August 15, 2016 - November 20, 2017
ALLEGIS INVESTMENT ADVISORS, LLC
June 25, 2015 - September 7, 2016
TRADEMARK CAPITAL MANAGEMENT INC.
January 6, 2015 - September 8, 2015
TRADEMARK CAPITAL MANAGEMENT INC
January 2, 2014 - August 6, 2014
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
June 24, 2013 - December 31, 2013
ALPS DISTRIBUTORS, INC.
April 30, 2012 - April 8, 2013
ALPS DISTRIBUTORS, INC.
January 26, 2010 - March 2, 2012
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
April 22, 2008 - January 12, 2010
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
March 10, 2008 - April 1, 2008
OLD MUTUAL CAPITAL
March 15, 2006 - April 1, 2008
OLD MUTUAL INVESTMENT PARTNERS
September 27, 2001 - December 6, 2005
BOFA DISTRIBUTORS, INC.
November 11, 1998 - February 13, 2001
JANUS HENDERSON DISTRIBUTORS US LLC
Primary Firm SEC Registration
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/1/2023)
(5/1/2023)
(2/26/2018)
(5/9/2023)
(5/2/2023)
(1/22/2018)
(2/23/2018)
(5/1/2023)
(5/4/2023)
(5/3/2023)
(5/1/2023)
(5/1/2023)
(5/2/2023)
(3/1/2018)
(5/4/2023)
(5/11/2023)
(5/1/2023)
(5/3/2023)
(5/1/2023)
(5/2/2023)
(5/1/2023)
(5/4/2023)
(5/2/2023)
(5/2/2023)
(5/1/2023)
(5/1/2023)
(5/1/2023)
(4/26/2018)
(4/30/2018)
(5/5/2023)
(5/16/2023)
(5/1/2023)
(4/26/2018)
(5/1/2023)
(5/1/2023)
(5/10/2018)
(5/1/2023)
(5/1/2023)
(5/1/2023)
(5/1/2023)
(5/11/2023)
(5/5/2023)
(5/2/2023)
(4/27/2018)
(5/2/2023)
(5/1/2023)
(4/25/2018)
(5/2/2023)
(5/1/2023)
(5/1/2023)
(5/1/2023)
(5/2/2023)
(4/26/2018)
Exams
FINRA
Current Firm
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,050 |
| AUM (Assets Under Management) | $ 12,414,372,511 |
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.
