Brandon R. Henry

MOSAIC ADVISORS

Houston, TX 77046

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CRD#: 4854666

Professional summary

Brandon Ross Henry, CIMA®, CPWA® is a registered financial advisor currently at MOSAIC ADVISORS located in Houston, Texas.

Brandon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brandon has worked at 10 firms and has passed the Series 66, 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 Brandon Ross Henry'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®

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2015-04-07

Expire date: 2023-05-31

Experience

Current

September 28, 2012 - Present

MOSAIC ADVISORS

Office #1: 3773 Richmond Avenue Suite 700, Houston, TX 77046

RIA

CRD#: 164913

Houston, TX

Past

February 17, 2012 - March 31, 2015

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

HOUSTON, TX

Past

February 16, 2012 - March 31, 2015

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, TX

Past

November 21, 2011 - February 17, 2012

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

HOUSTON, TX

Past

November 21, 2011 - February 17, 2012

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

HOUSTON, TX

Past

July 25, 2011 - November 23, 2011

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HOUSTON, TX

Past

January 18, 2011 - November 23, 2011

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

HOUSTON, TX

Past

February 9, 2009 - April 19, 2010

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

November 10, 2006 - May 30, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

HOUSTON, TX

Past

November 10, 2006 - May 30, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

HOUSTON, TX

Past

March 9, 2006 - October 30, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TUCSON, AZ

Past

March 9, 2006 - October 30, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TUCSON, AZ

Past

September 27, 2005 - February 8, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

September 13, 2005 - February 8, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

November 22, 2004 - August 18, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

VICTORVILLE, CA

Past

November 11, 2004 - August 18, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

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".

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 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

Texas
(9/28/2012)

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 66

Date: 11/19/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2004

General Securities Representative Examination

Current Firm

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

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Contact information

Main Address

3773 Richmond Avenue Suite 700, Houston, TX 77046

Mailing Address

Phone number

(713) 980-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MOSAIC ADVISORS FORM ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	214
AUM (Assets Under Management)	$ 499,449,089

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.

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Advisor Monitoring

Firm Stability Insights

Brandon R. Henry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Ross Henry's CRS (Customer Relationship Summary).

Certified licenses

Experience

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

HIMCO DISTRIBUTION SERVICES COMPANY

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

MOSAIC ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/19/2004

SIE

Date: 3/31/2015

Series 7

Date: 11/10/2004

Current Firm

MOSAIC ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOSAIC ADVISORS

TRUST BUT VERIFY

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