Brian W. Neustrom

PARSONEX ADVISORY SERVICES

ENGLEWOOD, CO 80112

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CRD#: 5530526

Professional summary

Brian William Neustrom is a registered financial advisor currently at PARSONEX ADVISORY SERVICES, INC. located in Englewood, Colorado and PARSONEX CAPITAL MARKETS, LLC located in Englewood, Colorado.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Brian has worked at 14 firms and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 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.

EMPLOYED BY PARSONEX ENTERPRISES, INC. PARENT/HOLDING COMPANY OF THE WHOLLY OWNED SUBSIDIARIES: CCO PARSONEX SECURITIES,PARSONEX ADVISORY SERVICES,PARSONEX INSURANCE AGENCY AND PARTIALLY OWNED SUBSIDIARIES: CCO PARSONEX CAPITAL MARKETS AND OTHER AFFILIATED ENTITIES. PRIMARY ROLES WITH PARSONEX AFFILIATES INCLUDE: PARSONEX SECURITIES, INVESTMENT RELATED, BROKER/DEALER, PRINCIPAL, CCO PARSONEX CAPITAL MARKETS, INVESTMENT RELATED, BROKER/DEALER, PRINCIPAL, CCO PARSONEX ADVISORY SERVICES, INVESTMENT RELATED, RIA, CCO E MMAGNUS OPPENHEIM, INVESTMENT RELATED, CCO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian William Neustrom'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®

None

Experience

Current

January 18, 2021 - Present

PARSONEX ADVISORY SERVICES, INC.

Office #1: 8310 S Valley Hwy Ste 110, Englewood, CO 80112

RIA

CRD#: 160275

ENGLEWOOD, CO

Current

January 18, 2021 - Present

PARSONEX CAPITAL MARKETS, LLC

Office #1: 8310 S. Valley Highway Suite 110, Englewood, CO 80112

CRD#: 169578

Englewood, CO

Current

January 18, 2021 - Present

PARSONEX SECURITIES, INC.

Office #1: 8310 S. Valley Highway Suite 110, Englewood, CO 80112

CRD#: 144412

Englewood, CO

Past

February 1, 2022 - October 7, 2022

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Englewood, CO

Past

October 8, 2021 - July 15, 2022

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

October 6, 2021 - July 15, 2022

MODERN CAPITAL SECURITIES INC.

CRD#: 130876

RALEIGH, NC

Past

July 10, 2018 - January 21, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DENVER, CO

Past

May 16, 2017 - May 31, 2018

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

DENVER, CO

Past

May 16, 2017 - January 21, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

April 25, 2016 - May 31, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

DENVER, CO

Past

August 7, 2015 - December 31, 2016

LEGEND EQUITIES CORPORATION

CRD#: 30999

Denver, CO

Past

June 19, 2013 - May 31, 2018

CETERA ADVISORS LLC

RIA

CRD#: 10299

DENVER, CO

Past

June 18, 2013 - May 31, 2018

CETERA ADVISORS LLC

CRD#: 10299

DENVER, CO

Past

March 27, 2012 - June 19, 2013

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

METAIRIE, LA

Past

January 26, 2012 - June 19, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

METAIRIE, LA

Past

September 27, 2010 - January 20, 2012

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

LAFAYETTE, LA

Past

September 9, 2009 - January 20, 2012

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

LAFAYETTE, LA

Past

July 2, 2008 - May 1, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

LAFAYETTE, LA

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".

PARSONEX ADVISORY SERVICES, INC.

PARSONEX ADVISORY SERVICES, INC. | PARSONEX FINANCIAL SERVICES, INC.

CRD#: 160275 / SEC#: 801-74543

RIA

Registered Investment Advisory firm - (3/27/2012 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.

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

Colorado
(1/18/2021)

IAR

Colorado
(1/18/2021)

North Carolina
(2/17/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/16/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 4/29/2025

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/11/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/1/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/28/2011

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/12/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PARSONEX ADVISORY SERVICES, INC.

PARSONEX ADVISORY SERVICES, INC. | PARSONEX FINANCIAL SERVICES, INC.

CRD#: 160275 / SEC#: 801-74543

RIA

Registered Investment Advisory firm - (3/27/2012 Approved)

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Contact information

Main Address

8310 S. Valley Highway Suite 110, Englewood, CO 80112

Mailing Address

8310 S. Valley Highway Suite 110, Englewood, CO 80112

Phone number

(303) 662-8700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PARSONEX ADVISORY SERVICES BROCHURE 3-2023 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	609
AUM (Assets Under Management)	$ 174,840,469

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

Brian W. Neustrom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian William Neustrom's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARSONEX CAPITAL MARKETS, LLC

PARSONEX SECURITIES, INC.

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

MODERN CAPITAL SECURITIES INC.

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

LEGEND EQUITIES CORPORATION

CETERA ADVISORS LLC

CETERA ADVISORS LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

PARSONEX ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2010

Series 99TO

Date: 4/29/2025

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/11/2009

Series 6

Date: 7/1/2008

Series 53

Date: 11/28/2011

Series 24

Date: 2/12/2010

FINRA

Current Firm

PARSONEX ADVISORY SERVICES, INC.

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARSONEX ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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