BD
Brian P. Dean
UNITED BROKERAGE SERVICES,
Weston, WV 26452
Some features on this profile are disabled
CRD#: 4199550
BD
Professional summary
Brian Patrick Dean, who also goes by Patrick B Dean, is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Weston, West Virginia.
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 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick B Dean
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.
Bo Pare Foundation - Board Member - Start Date 7/22/2021 - not securities related - Morgantown, WV - 2 hrs/quarter - volunteer - no compensation - Make group decisions on how to allocate donated funds to park projects and upkeep.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Patrick Dean's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Patrick Dean'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®
NoneExperience
Current
January 25, 2016 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 202 Main Avenue, Weston, WV 26452Office #2: 101 East Main Street, Glenville, WV 26351Office #3: 990 Elmer Prince Drive, Morgantown, WV 26505RIA
BD
CRD#: 39062
Weston, WV
Current
January 4, 2016 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 202 Main Avenue, Weston, WV 26452Office #2: 101 East Main Street, Glenville, WV 26351Office #3: 990 Elmer Prince Drive, Morgantown, WV 26505RIA
BD
CRD#: 39062
Weston, WV
Past
December 15, 2009 - January 11, 2016
WESBANCO SECURITIES, INC.
RIA
CRD#: 43276
MORGANTOWN, WV
Past
December 1, 2009 - January 11, 2016
WESBANCO SECURITIES, INC.
BD
CRD#: 43276
MORGANTOWN, WV
Past
May 26, 2009 - November 13, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
KALAMAZOO, MI
Past
July 6, 2005 - December 31, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
KALAMAZOO, MI
Past
July 6, 2005 - November 13, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
KALAMAZOO, MI
Past
March 21, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
GRAND RAPIDS, MI
Past
March 18, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
January 28, 2004 - March 3, 2005
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
February 20, 2003 - January 8, 2004
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
CHARLOTTE, NC
Past
February 14, 2003 - January 8, 2004
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
CHARLOTTE, NC
Past
January 16, 2001 - September 6, 2002
UNITED BROKERAGE SERVICES, INC
BD
CRD#: 39062
PARKERSBURG, WV
Past
August 1, 2000 - January 3, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia 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
Colorado(7/8/2021)
RR
Florida(1/4/2016)
RR
Indiana(12/8/2017)
RR
Kentucky(1/4/2016)
RR
Maryland(1/4/2016)
RR
Michigan(1/5/2016)
RR
New York(1/4/2016)
RR
North Carolina(1/8/2016)
RR
Ohio(1/5/2016)
RR
Pennsylvania(1/4/2016)
RR
South Carolina(1/11/2016)
RR
South Dakota(5/16/2024)
RR
Texas(1/4/2016)
RR
Vermont(10/5/2022)
RR
Virginia(1/18/2017)
RR
West Virginia(1/4/2016)
IAR
West Virginia(1/25/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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.
