Brian K. Serle
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 Keith Serle, who also goes by Brian K Serle, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1983. Brian had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2014 - July 2, 2015
RIVERSOURCE DISTRIBUTORS, INC.
January 22, 2014 - August 11, 2014
WOODBURY FINANCIAL SERVICES, INC.
November 26, 2013 - August 11, 2014
WOODBURY FINANCIAL SERVICES, INC.
January 13, 2010 - November 5, 2013
RIVERSOURCE DISTRIBUTORS, INC.
January 1, 2009 - August 21, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
October 6, 2006 - August 21, 2009
HARTFORD FUNDS DISTRIBUTORS, LLC
October 4, 2006 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
October 4, 2006 - August 21, 2009
HARTFORD FUNDS DISTRIBUTORS, LLC
June 2, 2005 - August 23, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
May 21, 2004 - May 2, 2005
WELLS FARGO INVESTMENTS, LLC
June 20, 2003 - May 2, 2005
WELLS FARGO INVESTMENTS, LLC
September 30, 2002 - August 18, 2003
ASSOCIATED INVESTMENT SERVICES, INC.
January 4, 2001 - April 17, 2002
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 1, 1999 - December 12, 2000
CALAMOS FINANCIAL SERVICES LLC
January 11, 1999 - May 24, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 1, 1999 - January 20, 1999
B. C. ZIEGLER AND COMPANY
October 24, 1996 - January 1, 1999
GS2 SECURITIES, INC.
March 13, 1996 - September 24, 1996
WELLINGTON INVESTMENT SERVICES CORP.
September 29, 1994 - February 20, 1996
MORGAN STANLEY DW INC.
October 24, 1991 - September 8, 1994
G. R. PHELPS & CO., INC.
May 8, 1989 - July 3, 1990
LEHMAN BROTHERS INC.
March 11, 1986 - April 28, 1989
PRINCIPAL SECURITIES, INC.
July 26, 1983 - January 1, 1986
NEW ENGLAND SECURITIES
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
Series 1
Date: 4/5/1978
Registered Representative ExaminationCurrent Firm
RIVERSOURCE DISTRIBUTORS, INC.
CRD#: 139135 / SEC#: , 8-67196
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | 1975307 |
| KNEESHAW, JESSICA A | DIRECTOR | 4619188 |
| LASSWELL, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 2092593 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| MINELLA, PAULA J | GENERAL COUNSEL | 7355568 |
| SHERMAN, KARA DALY | DIRECTOR (TEXAS DESIGNATED OFFICER) | 4567825 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
