Brian S. Giere

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CRD#: 4081701

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 Stephen Giere was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 12, 2011 - July 29, 2016

PROMUS CAPITAL, LLC

RIA

CRD#: 147597

CHICAGO, IL

Past

April 28, 2004 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 129288

LISLE, IL

Past

October 29, 2003 - July 1, 2004

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

RIA

CRD#: 39805

LISLE, IL

Past

July 28, 2003 - May 13, 2011

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

LISLE, IL

Past

June 25, 2002 - July 28, 2003

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

February 15, 2001 - June 24, 2002

USA FINANCIAL SECURITIES LLC

CRD#: 103857

ADA, MI

Past

March 6, 2000 - February 26, 2001

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 6, 2000 - February 26, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROMUS CAPITAL, LLC

ELKHORN WEALTH MANAGEMENT, LLC | PROMUS FAMILIES | PROMUS CAPITAL, LLC | PROMUS | LAUREATE WEALTH MANAGEMENT

CRD#: 147597 / SEC#: 801-69649

RIA

Registered Investment Advisory firm - (10/15/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/28/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/3/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/3/2006

General Securities Principal Examination

Current Firm

PROMUS CAPITAL, LLC

ELKHORN WEALTH MANAGEMENT, LLC | PROMUS FAMILIES | PROMUS CAPITAL, LLC | PROMUS | LAUREATE WEALTH MANAGEMENT

CRD#: 147597 / SEC#: 801-69649

RIA

Registered Investment Advisory firm - (10/15/2008 Approved)

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Contact information

Main Address

156 N. Jefferson St. Suite 300, Chicago, IL 60661

Mailing Address

Phone number

(312) 784-3990

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROMUS CAPITAL BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	533
AUM (Assets Under Management)	$ 1,598,360,863

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/29/2025	Cover Page	Report
12/18/2024	Cover Page	Report
07/25/2023	Cover Page	Report

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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Firm Stability Insights

Brian S. Giere

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

FIRST TRUST PORTFOLIOS L.P.

USA FINANCIAL SECURITIES LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

PROMUS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2003

Series 63

Date: 9/26/2001

Series 7

Date: 6/21/2001

Series 6

Date: 3/3/2000

Series 24

Date: 10/3/2006

Current Firm

PROMUS CAPITAL, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PROMUS CAPITAL, LLC

TRUST BUT VERIFY

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