Brian W. Heublein

MARSHA LEE & COMPANY,INC.

Palm Desert, CA 92260-3824

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CRD#: 714280

Professional summary

Brian William Heublein is a registered financial advisor currently at MARSHA LEE & COMPANY,INC. located in Palm Desert, California and CETERA ADVISORS LLC located in Palm Desert, California.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Brian has worked at 8 firms and has passed the Series 63, SIE, Series 7 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.

1.) FINRA ARBITRATOR; ARBITRATION; START DATE:3/1/2008. 2.) MARSHA LEE & CO., INC.; CCO; RIA; START DATE 04/16/2005; 20 HOURS PER MONTH. 3.) BRIAN HEUBLEIN; OWNER; REAL ESTATE PROPERTY; START DATE 12/31/2014; 4 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian William Heublein'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®

None

Experience

Current

February 26, 2020 - Present

MARSHA LEE & COMPANY,INC.

Office #1: 44651 Village Court Suite 136, Palm Desert, CA 92260-3824

RIA

CRD#: 134286

Palm Desert, CA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 44651 Village Court Suite 136, Palm Desert, CA 92260

CRD#: 10299

Palm Desert, CA

Past

December 20, 1994 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

PALM DESERT, CA

Past

July 28, 1994 - January 13, 1995

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

March 17, 1987 - June 15, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

June 18, 1984 - January 18, 1986

CROWELL, WEEDON & CO.

CRD#: 193

Past

October 17, 1980 - July 12, 1984

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

August 22, 1980 - November 21, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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

IAR

California
(2/26/2020)

California
(9/8/2022)

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

Series 63

Date: 6/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/6/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/29/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MARSHA LEE & COMPANY,INC.

MARSHA LEE | MARSHA LEE & COMPANY,INC. | MARSHA LEE & COMPANY, INC.

CRD#: 134286 / SEC#:

California

Registered Investment Advisory firm - (1/1/1994 Approved)

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Contact information

Main Address

44651 Village Court Suite 136, Palm Desert, CA 92260-3824

Mailing Address

Phone number

(760) 776-4577

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 33,225,999

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. Heublein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

FIRST AFFILIATED SECURITIES

PRUDENTIAL EQUITY GROUP, LLC

CROWELL, WEEDON & CO.

E. F. HUTTON & COMPANY INC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/6/1994

Series 24

Date: 8/29/1994

FINRA

Current Firm

MARSHA LEE & COMPANY,INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MARSHA LEE & COMPANY,INC.

TRUST BUT VERIFY

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