Jeremy N. Brierley

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CRD#: 5110850

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.

Jeremy Nathan Brierley, who also goes by Jeremy Brierley, was a registered financial professional .

Jeremy is a previously registered financial professional and started their career in finance in 2006. Jeremy had worked at 8 firms and has passed the Series 65, Series 63, Series 82TO, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeremy Brierley

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.

Name of other business: Harmony HOA Investment Related: No Address of the other business: N/A. Nature of the other business: HOA Position: Backup clubhouse coordinator Start date: July 11, 2024

Blog Corner

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®

None

Experience

Past

April 25, 2024 - April 23, 2025

M1 FINANCE

RIA

CRD#: 249787

Union, KY

Past

December 26, 2023 - April 23, 2025

M1 FINANCE LLC

CRD#: 281242

CHICAGO, IL

Past

December 3, 2021 - January 5, 2023

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Cincinnati, OH

Past

January 4, 2019 - January 5, 2023

TOUCHSTONE ADVISORS INC

RIA

CRD#: 107028

CINCINNATI, OH

Past

November 7, 2018 - January 5, 2023

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

CINCINNATI, OH

Past

May 14, 2010 - December 12, 2016

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CINCINNATI, OH

Past

November 8, 2007 - December 12, 2016

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

May 29, 2007 - November 20, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FLORENCE, KY

Past

April 13, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

FLORENCE, KY

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".

M1 FINANCE

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - (8/11/2015 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.

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: 2/26/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/12/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/12/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/7/2010

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/28/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/3/2007

General Securities Principal Examination

Current Firm

M1 FINANCE

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - (8/11/2015 Approved)

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Contact information

Main Address

200 North Lasalle Street Suite 810, Chicago, IL 60601

Mailing Address

Phone number

(312) 600-2883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

M1 ADVISORY SERVICES (3/11/2025)

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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Firm Stability Insights

Jeremy N. Brierley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

M1 FINANCE LLC

W&S BROKERAGE SERVICES, INC.

TOUCHSTONE ADVISORS INC

TOUCHSTONE SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

M1 FINANCE

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/2019

Series 63

Date: 4/24/2006

Series 82TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 12/12/2016

Series 7

Date: 4/12/2006

Series 53

Date: 5/7/2010

Series 4

Date: 12/28/2009

Series 24

Date: 12/3/2007

Current Firm

M1 FINANCE

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

M1 FINANCE

TRUST BUT VERIFY

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