BT
Brian T. Thies
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CRD#: 4472288
BT
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 Thomas Thies, who also goes by Brian T Thies, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian T Thies
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.
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®
NoneExperience
Past
April 26, 2017 - August 23, 2018
CORNERSTONE WEALTH MANAGEMENT, LLC
RIA
CRD#: 164666
Des Peres, MO
Past
March 7, 2017 - September 12, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
DES PERES, MO
Past
November 18, 2014 - November 19, 2015
CORNERSTONE WEALTH MANAGEMENT, LLC
RIA
CRD#: 164666
DES PERES, MO
Past
May 1, 2013 - January 19, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
DES PERES, MO
Past
September 4, 2009 - December 10, 2012
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
ST. ALBANS RD, MO
Past
October 1, 2002 - November 15, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
November 23, 2001 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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".
CW
CORNERSTONE WEALTH MANAGEMENT, LLC
ANDERSON INVESTMENTS, LLC | WEST FINANCIAL SERVICES | VINE WEALTH MANAGEMENT | TRIADA ADVISORS | THOROUGHBRED FINANCIAL SOLUTIONS | STONE 8 WEALTH MANAGEMENT, LLC | STEAMBOAT FINANCIAL GROUP | STAUROS FINANCIAL, LLC | SCARBOROUGH FINANCIAL GROUP, LLC | RP ZEIGLER INVESTMENT SERVICES | REISS FINANCIAL GROUP, LLC | RAUDENBUSH FINANCIAL SERVICES, LLC | RAUDENBUSH FINANCIAL SERVICES | RAINS WEALTH MANAGEMENT | PHIPPS WEALTH MANAGEMENT, LLC | MORSE WEALTH MANAGEMENT | MINDFUL WEALTH MANAGEMENT, LLC | MILESTONE INVESTMENT COUNSEL | LIFETIME PLANNING, INC. | LEGENDS FINANCIAL SERVICES GROUP, LLC | LEGENDS FINANCIAL SERVICES GROUP LLC | JACHURA FINANCIAL | INSIGHT FINANCIAL SOLUTIONS | HILL WEALTH MANAGEMENT, LLC | GLASSCOCK FINANCIAL | GIELLA FINANCIAL SERVICES, LLC | GENFINITY WEALTH MANAGEMENT | GATEWAY WEALTH MANAGEMENT, LLC | FOCUS WEALTH MANAGEMENT | FISHER FINANCIAL, LLC | FAITHVEST | ERIK THOMPSON FINANCIAL STRATEGIES LLC | ERIK THOMPSON FINANCIAL STRATEGIES | ENDEAVOR WEALTH MANAGEMENT, LLC | DIXON INCORPORATED | CORNERSTONE WEALTH MANAGEMENT, LLC | CORNERSTONE WEALTH MANAGEMENT ROSCOE | CARLISLE MOTT FINANCIAL | BELL & ASSOCIATES WEALTH MANAGEMENT | ASPIRE WEALTH MANAGEMENT, LLC
CRD#: 164666 / SEC#: 801-76973
RIA
Registered Investment Advisory firm - (8/15/2012 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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CORNERSTONE WEALTH MANAGEMENT, LLC
ANDERSON INVESTMENTS, LLC | WEST FINANCIAL SERVICES | VINE WEALTH MANAGEMENT | TRIADA ADVISORS | THOROUGHBRED FINANCIAL SOLUTIONS | STONE 8 WEALTH MANAGEMENT, LLC | STEAMBOAT FINANCIAL GROUP | STAUROS FINANCIAL, LLC | SCARBOROUGH FINANCIAL GROUP, LLC | RP ZEIGLER INVESTMENT SERVICES | REISS FINANCIAL GROUP, LLC | RAUDENBUSH FINANCIAL SERVICES, LLC | RAUDENBUSH FINANCIAL SERVICES | RAINS WEALTH MANAGEMENT | PHIPPS WEALTH MANAGEMENT, LLC | MORSE WEALTH MANAGEMENT | MINDFUL WEALTH MANAGEMENT, LLC | MILESTONE INVESTMENT COUNSEL | LIFETIME PLANNING, INC. | LEGENDS FINANCIAL SERVICES GROUP, LLC | LEGENDS FINANCIAL SERVICES GROUP LLC | JACHURA FINANCIAL | INSIGHT FINANCIAL SOLUTIONS | HILL WEALTH MANAGEMENT, LLC | GLASSCOCK FINANCIAL | GIELLA FINANCIAL SERVICES, LLC | GENFINITY WEALTH MANAGEMENT | GATEWAY WEALTH MANAGEMENT, LLC | FOCUS WEALTH MANAGEMENT | FISHER FINANCIAL, LLC | FAITHVEST | ERIK THOMPSON FINANCIAL STRATEGIES LLC | ERIK THOMPSON FINANCIAL STRATEGIES | ENDEAVOR WEALTH MANAGEMENT, LLC | DIXON INCORPORATED | CORNERSTONE WEALTH MANAGEMENT, LLC | CORNERSTONE WEALTH MANAGEMENT ROSCOE | CARLISLE MOTT FINANCIAL | BELL & ASSOCIATES WEALTH MANAGEMENT | ASPIRE WEALTH MANAGEMENT, LLC
CRD#: 164666 / SEC#: 801-76973
RIA
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Contact information
Main Address
7417 Mexico Road Suite 104, St. Peters, MO 63376
Mailing Address
Phone number
(636) 397-6200
Established
Firm type
Fiscal year end
# of Employees
139
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,813 |
| AUM (Assets Under Management) | $ 4,082,513,557 |
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.
