BD
Briana O. D'esposito
ROSSBY FINANCIAL
CARLSBAD, CA
Some features on this profile are disabled
CRD#: 7231539
BD
Professional summary
Briana Olivia D'esposito, who also goes by Briana Olivia D Esposito, Briana Olivia Desposito, is a registered financial advisor currently at ROSSBY FINANCIAL, LLC located in Carlsbad, California.
Briana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Briana has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Briana Olivia D Esposito | Briana Olivia Desposito
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. FIXED NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE, 1733 CALAVO CT, CARLSBAD, CALIFORNIA, 92008, INSURANCE AGENT, START DATE: 04/2022, FIXED INSURANCE SALES 2. 100% OWNER, LIVE TRUE PRODUCTIONS, 560 GRAND BLVD APT 2, VENICE, , CALIFORNIA, 90291, UNITED STATES OF AMERICA, EVENT AND FILM COMPANY, START DATE: 12/18/2018, DEVOTE TIME TO 2 EVENTS ANNUALLY 3. 100% OWNER, CARLSBAD, CALIFORNIA, 92008, UNITED STATES OF AMERICA,RENTAL PROPERTY OWNED IN SAYULITA,MEXICO, START DATE: 02/08/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, MANAGEMENT RENTAL REAL ESTATE 4. EViE FINANCIAL GROUP, 9701 APOLLO DR, STE 330-7, UPPER MARLBORO, MD, 2/2024, DOING BUSINESS AS OF NAME (DBA) FOR ADVISORY SERVICES OFFERED THROUGH ROSSBY FINANCIAL, LLC, INVESTMENT ADVISOR REPRESENTATIVE, INV REL, 0 HR/MO, 0 HR/MO TRADING. EViE FINANCIAL GROUP AND ROSSBY FINANCIAL, LLC ARE UNAFFILIATED FIRMS.
CRS (Client Relationship Summary) - RIA
Click below to view Briana Olivia D'esposito'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
January 11, 2024 - Present
ROSSBY FINANCIAL, LLC
RIA
CRD#: 324631
CARLSBAD, CA
Past
May 6, 2021 - January 10, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CARLSBAD, CA
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".
RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS
CRD#: 324631 / SEC#: 801-127370
RIA
Registered Investment Advisory firm - (2/24/2023 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
California(1/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/6/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS
CRD#: 324631 / SEC#: 801-127370
RIA
Registered Investment Advisory firm - (2/24/2023 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2412 Irwin Street, Melbourne, FL 32901
Mailing Address
Phone number
(321) 209-0111
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 804 |
| AUM (Assets Under Management) | $ 358,627,117 |
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.
