Brian A. Perez
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 Andrew Perez was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 7 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
January 22, 2015 - December 9, 2015
GUPTA WEALTH MANAGEMENT, LLC
July 2, 2014 - November 3, 2014
FUTUREADVISOR, INC.
April 3, 2007 - December 20, 2012
FISHER INVESTMENTS
January 8, 2003 - December 3, 2004
PURISIMA SECURITIES, LLC
October 4, 2001 - December 31, 2002
QUASAR DISTRIBUTORS, LLC
November 10, 1999 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
March 26, 1999 - October 5, 1999
COREBRIDGE CAPITAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GUPTA WEALTH MANAGEMENT, LLC
CRD#: 161721 / SEC#: 801-78524
Contact information
Red Flags
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