Brian Overton

VESTMARK ADVISORY SOLUTIONS

North Wales, PA

Some features on this profile are disabled

CRD#: 4295892

Professional summary

Brian Overton is a registered financial advisor currently at VESTMARK ADVISORY SOLUTIONS, INC. located in North Wales, Pennsylvania.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Brian has worked at 5 firms and has passed the Series 65, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Overton's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 29, 2025 - Present

VESTMARK ADVISORY SOLUTIONS, INC.

RIA

CRD#: 221518

North Wales, PA

Past

May 15, 2007 - April 25, 2025

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

PHILADELPHIA, PA

Past

May 15, 2007 - April 25, 2025

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

January 22, 2007 - April 27, 2007

HIRTLE, CALLAGHAN & CO., LLC

RIA

CRD#: 105403

WEST CONSHOHOCKEN, PA

Past

May 1, 2001 - September 14, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEWARK, DE

Past

February 22, 2001 - May 1, 2001

JPMSI

CRD#: 15733

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".

VESTMARK ADVISORY SOLUTIONS, INC.

VESTMARK ADVISORY SOLUTIONS, INC. | VESTMARK MANAGER MARKETPLACE

CRD#: 221518 / SEC#: 801-114077

RIA

Registered Investment Advisory firm - (9/28/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (10/3/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(9/9/2025)

IAR

Pennsylvania
(5/29/2025)

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: 1/19/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/2001

General Securities Representative Examination

Current Firm

VESTMARK ADVISORY SOLUTIONS, INC.

VESTMARK ADVISORY SOLUTIONS, INC. | VESTMARK MANAGER MARKETPLACE

CRD#: 221518 / SEC#: 801-114077

RIA

Registered Investment Advisory firm - (9/28/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (10/3/2018 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Quannapowitt Pkwy Suite 205, Wakefield, MA 01880

Mailing Address

Phone number

(888) 355-0477

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

VESTMARK ADVISORY SOLUTIONS FORM ADV PART 2A DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	32,047
AUM (Assets Under Management)	$ 10,019,300,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian Overton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Overton's CRS (Customer Relationship Summary).

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

HIRTLE, CALLAGHAN & CO., LLC

J.P. MORGAN SECURITIES INC.

JPMSI

Primary Firm SEC Registration

VESTMARK ADVISORY SOLUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/2007

Series 63

Date: 6/22/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/21/2001

Current Firm

VESTMARK ADVISORY SOLUTIONS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VESTMARK ADVISORY SOLUTIONS, INC.

TRUST BUT VERIFY

Similar Advisors