BY
Brendan W. Yester
LRI INVESTMENTS
Glastonbury, CT 06033
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CRD#: 5246722
BY
Professional summary
Brendan Whitmore Yester is a registered financial advisor currently at LRI INVESTMENTS located in Glastonbury, Connecticut and M HOLDINGS SECURITIES, INC. located in Glastonbury, Connecticut.
Brendan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Brendan has worked at 4 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.
1. 10/21/2011 - Mariner Financial Group, LLC DBA for M Holdings Securities, Inc. - Investment Related - 223 Eastern Boulevard, Glastonbury, CT 06033 - Financial Advisor, Investment Advisor Representative; Time spent 120 hours/month; all hours are during trading hours. Investment advice and financial planning. 2. 02/2021 - M Holdings Securities, Inc. - Investment Related; 1125 Northwest Couch Street Suite 900 Portland, OR 97209; Registered Representative; Financial Advisor; Time spent 5-10 hours/month; all hours are during trading hours; Securities transactions. 3) Mariner Financial Group, LLC; 223, Eastern BLVD, Glastonbury CT 06033; M Financial Group Member Firm Affiliation; Investment-related; Partner; financial planning; 2/16/2021; 164 hours per month; 160 hours per month during trading hours. 4) LRI Investments, LLC; 825 PGA BLVD, Suite 303, Palm Beach Gardens, FL 33410; Financial Services; Investment Related; Financial Advisor; Financial Services; 04/01/2024; 164 hours per month; 160 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Brendan Whitmore Yester's 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®
NoneExperience
Current
April 3, 2024 - Present
LRI INVESTMENTS
Office #1: 223 Eastern Boulevard, Glastonbury, CT 06033RIA
CRD#: 323556
Glastonbury, CT
Current
February 13, 2021 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 223 Eastern Boulevard, Glastonbury, CT 06033RIA
BD
CRD#: 43285
Glastonbury, CT
Past
February 13, 2021 - April 1, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
Glastonbury, CT
Past
March 6, 2017 - March 31, 2023
MARINER FINANCIAL GROUP, LLC
RIA
CRD#: 287649
GLASTONBURY, CT
Past
October 7, 2010 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
GLASTONBURY, CT
Past
May 25, 2010 - February 23, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
GLASTONBURY, CT
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".
LI
LRI INVESTMENTS
JKJ FINANCIAL SERVICES | MARINER FINANCIAL GROUP | LRI INVESTMENTS, LLC | LRI INVESTMENTS | LINDBERG & RIPPLE | JKJ RETIREMENT SERVICES
CRD#: 323556 / SEC#: 801-127277
RIA
Registered Investment Advisory firm - (4/12/2024 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(2/13/2021)
IAR
Connecticut(4/3/2024)
RR
Florida(5/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LI
LRI INVESTMENTS
JKJ FINANCIAL SERVICES | MARINER FINANCIAL GROUP | LRI INVESTMENTS, LLC | LRI INVESTMENTS | LINDBERG & RIPPLE | JKJ RETIREMENT SERVICES
CRD#: 323556 / SEC#: 801-127277
RIA
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Contact information
Main Address
3825 Pga Blvd Suite 303, Palm Beach Gardens, FL 33410
Mailing Address
Phone number
(561) 323-2265
Established
Firm type
Fiscal year end
# of Employees
37
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,295 |
| AUM (Assets Under Management) | $ 1,404,038,363 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
