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Brian James Giesen

LPl Financial LLC

Red Bank, NJ

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-12-22
NJ RA APPROVED 2021-09-29
  • TX RA
    APPROVED
    Since 2021-12-22
  • NJ RA
    APPROVED
    Since 2021-09-29

Branch Locations

65 Mechanic St, Ste. 107, Red Bank, NJ 07701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Red Bank NJ 12/2020 Present
Oppenheimerfunds New York NY 08/2011 05/2019
Invesco New York NY 06/2019 11/2020
  • 12/2020 → Present
    Lpl Financial Llc
    Red Bank, NJ
  • 08/2011 → 05/2019
    Oppenheimerfunds
    New York, NY
  • 06/2019 → 11/2020
    Invesco
    New York, NY
Other Businesses

1) 6/2021 - Rivers Edge Wealth Partners- DBA for LPL Business (entity for LPL business)- Inv. Related- Red Bank, NJ

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-24
  • S66 Uniform Combined State Law Examination
    2021-09-24

View on SEC IAPD

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Other Offices

CLEAR WAVE WEALTH MANAGEMENT, LLC · RED BANK, NJ
MILLINGTON SECURITIES, LLC · RED BANK, NJ
HARTSHORNE GROUP, LLC · RED BANK, NJ
WBI INVESTMENTS, LLC · RED BANK, NJ
PRINCETON CAPITAL MANAGEMENT LLC · RED BANK, NJ
ATLAS PRIVATE WEALTH ADVISORS · RED BANK, NJ
DONALD W. CASH & ASSOCIATES, LLC · RED BANK, NJ
IEM ASSET MANAGEMENT, LLC · RED BANK, NJ

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