Richard Dennis Brower
Professional Summary
Richard Dennis Brower is a registered financial advisor currently at PROFOR ADVISORS located in Rye Brook, New York. Richard is registered as a RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Current Firm
AURELIUS SECURITIES, LLC | PROFOR SECURITIES, LLC | PROFOR ADVISORS
Contact Information
Main Address
800 Westchester Ave Suite 641n, Rye Brook, NY 10573Mailing Address
800 Westchester Ave Suite 641n, Rye Brook, NY 10573Phone Number
(646) 202-2969Established
New York since 06/03/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (30 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(3/27/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view Richard Dennis Brower's CRS (Customer Relationship Summary).
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC