Brian G. Stein
NATIONS FINANCIAL GROUP
Greenwood Village, CO 80111
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CRD#: 4117327
Professional summary
Brian Gray Stein, CFP® is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Greenwood Village, Colorado.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
KARN Group I, LLC. 174 South Pontiac St., Denver, CO 80230. Not investment related. Nature of other business is residential real estate. Position is employee/consultant. started 11-1-16. Spend approx 20 hrs/month on business, none during security trading hrs. Duties are to provide consulting services to parents' business that includes business strategy, marketing, social media and technology // Beacon Private Wealth Management. 7887 East Belleview Ave., Suite #1100 Greenwood Village, CO 80111. Is investment related. Nature of business is insurance sales. Position is owner. Started 6/13/16. Approx 10 hrs/month on business, all during security trading hours. Duties are identifying prospects and clients who could benefit from life insurance, disability or fixed/index annuities. Also researching products
CRS (Client Relationship Summary) - RIA
Click below to view Brian Gray Stein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Gray Stein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2018
Experience
Current
December 23, 2015 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 7887 East Belleview Ave Suite #1100, Greenwood Village, CO 80111RIA
BD
CRD#: 44181
Greenwood Village, CO
Current
December 23, 2015 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 7887 East Belleview Ave Suite #1100, Greenwood Village, CO 80111RIA
BD
CRD#: 44181
Greenwood Village, CO
Past
August 23, 2012 - January 4, 2016
MORGAN STANLEY
RIA
CRD#: 149777
GREENWOOD VILLAGE, CO
Past
August 9, 2012 - January 4, 2016
MORGAN STANLEY
BD
CRD#: 149777
GREENWOOD VILLAGE, CO
Past
April 30, 2001 - October 10, 2001
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
May 30, 2000 - April 30, 2001
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/23/2015)
RR
California(12/23/2015)
RR
Colorado(12/23/2015)
IAR
Colorado(12/23/2015)
RR
Florida(12/23/2015)
RR
Indiana(12/23/2015)
RR
New Mexico(5/30/2025)
RR
New York(12/23/2015)
RR
Pennsylvania(7/2/2024)
RR
Texas(1/30/2024)
RR
Utah(2/15/2023)
RR
Virginia(10/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
