BG
Brian R. Gaister
PENNINGTON PARTNERS & CO.
Houston, TX 77056
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CRD#: 5394236
BG
Professional summary
Brian Richard Gaister, CIMA®, CPWA®, who also goes by Brian Richard Gaister, is a registered financial advisor currently at PENNINGTON PARTNERS & CO., LLC located in Houston, Texas.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Brian has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Richard Gaister
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.
I.
1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
2.NAME OF OUTSIDE BUSINESS ORGANIZATION: KEIRETSU FORUM
3.INVESTMENT RELATED: N
4.ADDRESS OF BUSINESS:
425 MARKET STREET,
SAN FRANCISCO, CALIFORNIA 94105
5.NATURE OF BUSINESS: LLC,
6.COMPENSATION FOR ACTIVITY: N
7.POSITION, TITLE, ASSOCIATION: PARTICIPANT,
8.START DATE OF RELATIONSHIP: 6/1/2012
9.NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY
10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10
11.DUTIES: PASSIVE MEMBER/INVESTOR
II.
1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
2.NAME OF OUTSIDE BUSINESS ORGANIZATION: BRMG LLC
3.INVESTMENT RELATED: Y
4.ADDRESS OF BUSINESS:
3904 THOROUGHBRED LANE,
OWINGS MILLS, MARYLAND 21117
5.NATURE OF BUSINESS: LLC,
6.COMPENSATION FOR ACTIVITY: Y
7.POSITION, TITLE, ASSOCIATION: OWNER,
8.START DATE OF RELATIONSHIP: 6/26/2013
9.NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY
10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1
11.DUTIES: REAL ESTATE LLC FOR MY FATHER AND I
III. I*81513
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: GF ANGEL LLC
INVESTMENT RELATED: Y
ADDRESS OF BUSINESS:
3904 THOROUGHBRED LANE,
OWINGS MILLS, MARYLAND 21117
NATURE OF BUSINESS: LLC,
COMPENSATION FOR ACTIVITY: N
POSITION, TITLE, ASSOCIATION: GENERAL PARTNER,
START DATE OF RELATIONSHIP: 3/19/2013
NUMBER OF HOURS DEVOTED: 40 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 5
DUTIES: ENTITY CREATE FOR ANGEL INVESTING. ALL OF MY ANGEL INVESTMENTS THAT HAVE BEEN APPROVED, WERE IN THIS ENTITY.
I*82961
FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: JCC OF GREATER WASHINGTON
INVESTMENT RELATED: Y
ADDRESS OF BUSINESS:
6125 MONTROSE RD,
ROCKVILLE, MARYLAND 20852
NATURE OF BUSINESS: CHARITABLE ORGANIZATION,
COMPENSATION FOR ACTIVITY: N
POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER,
START DATE OF RELATIONSHIP: 7/27/2015
NUMBER OF HOURS DEVOTED: 40 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 20
DUTIES: INVESTMENT COMMITTEE MEMBER OF THE ENDOWMENT FOR THE JCC OF GREATER WASHINGTON
I*82962
FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: JEWISH COMMUNITY FEDERATION OF BALTIMORE
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
BALTIMORE, MARYLAND 21201
NATURE OF BUSINESS: CHARITABLE ORGANIZATION,
COMPENSATION FOR ACTIVITY: N
POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER,
START DATE OF RELATIONSHIP: 8/5/2015
NUMBER OF HOURS DEVOTED: 40 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2
DUTIES: HELPING WITH STRATEGY IN RAISING MONEY FOR THE ASSOCIATED JEWISH CHARITIES GENERAL CAMPAIGN
CRS (Client Relationship Summary) - RIA
Click below to view Brian Richard Gaister'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®
CPWA®
Start date: 2012-04-06
Expire date: 2023-12-31
Experience
Current
June 28, 2024 - Present
PENNINGTON PARTNERS & CO., LLC
Office #1: 1400 Post Oak Blvd Suite 800, Houston, TX 77056RIA
CRD#: 282688
Houston, TX
Past
January 9, 2017 - January 6, 2024
PENNINGTON PARTNERS & CO., LLC
RIA
CRD#: 282688
Houston, TX
Past
May 18, 2016 - December 31, 2016
PENNINGTON PARTNERS & CO., LLC
RIA
CRD#: 282688
BETHESDA, MD
Past
January 26, 2016 - April 4, 2016
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
Washington, DC
Past
September 10, 2010 - November 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBIA, MD
Past
September 10, 2010 - November 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLUMBIA, MD
Past
June 1, 2009 - September 16, 2010
MORGAN STANLEY
RIA
CRD#: 149777
BALTIMORE, MD
Past
June 1, 2009 - September 16, 2010
MORGAN STANLEY
BD
CRD#: 149777
BALTIMORE, MD
Past
December 12, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BALTIMORE, MD
Past
September 6, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BALTIMORE, MD
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".
PP
PENNINGTON PARTNERS & CO., LLC
BYRD FAMILY OFFICE, LLC | SAAS VENTURES, GP | PENNINGTON-TX, LLC | PENNINGTON REAL ESTATE PARTNERS, LLC | PENNINGTON PARTNERS & CO., LLC | PENNINGTON APPRECIATION FUND GP, LLC | PENNINGTON ALTERNATIVE INCOME IDF GP, LLC | PENNINGTON ALTERNATIVE INCOME FUND GP, LLC
CRD#: 282688 / SEC#: 801-107210
RIA
Registered Investment Advisory firm - (1/28/2016 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.Highlighted states indicate IAR registrations
IAR
Texas(6/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PP
PENNINGTON PARTNERS & CO., LLC
BYRD FAMILY OFFICE, LLC | SAAS VENTURES, GP | PENNINGTON-TX, LLC | PENNINGTON REAL ESTATE PARTNERS, LLC | PENNINGTON PARTNERS & CO., LLC | PENNINGTON APPRECIATION FUND GP, LLC | PENNINGTON ALTERNATIVE INCOME IDF GP, LLC | PENNINGTON ALTERNATIVE INCOME FUND GP, LLC
CRD#: 282688 / SEC#: 801-107210
RIA
Registered Investment Advisory firm - (1/28/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7500 Old Georgetown Road Suite 705, Bethesda, MD 20814
Mailing Address
Phone number
(202) 370-6435
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,026 |
| AUM (Assets Under Management) | $ 3,952,033,573 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 03/07/2024 | ||
| 03/27/2023 |
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.
