Brian A. Guerra
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.
Brian Anthony Guerra, who also goes by Brian Guerra, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2012. Brian had worked at 5 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2022 - December 31, 2024
VESTWELL ADVISORS LLC
May 14, 2020 - March 30, 2021
GT SECURITIES, INC.
July 18, 2018 - July 26, 2019
FORESIDE FUND SERVICES, LLC
May 5, 2016 - December 1, 2017
INTERACTIVE BROKERS LLC
December 4, 2012 - December 2, 2015
ADVISORS ASSET MANAGEMENT, INC.
October 10, 2012 - December 2, 2015
ADVISORS ASSET MANAGEMENT, INC.
Primary Firm SEC Registration
VESTWELL ADVISORS LLC
CRD#: 284173 / SEC#: 801-107981
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VESTWELL ADVISORS LLC
CRD#: 284173 / SEC#: 801-107981
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,946 |
| AUM (Assets Under Management) | $ 427,149,041 |
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.
