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BRIAN EUGENE WASSON
BRIAN E WASSON, BRIAN WASSON
CRD#: 4329934
IA
Investment Adviser
B
Broker Regulated by FINRA
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 100 Keller Pkwy
Keller, TX 76248-2201
+1
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (2 years)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2021 (8 years)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2010 - 2013 (2 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2008 - 2009 (<1 year)BWM FINANCIAL SERVICES, INC. (CRD# 599)2005 - 2006 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2004 - 2005 (<1 year)IAPNC MANAGED ACCOUNT SOLUTIONS,... (CRD# 110476)2017 - 2021 (4 years)
Disclosure(s)
View By:
1/9/2008
Judgment / Lien
9/8/1998
Criminal
Final Disposition
License(s)

State Registrations

B
Iowa

IA
Texas

B
Texas

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
100 Keller Pkwy, Keller, TX 76248-2201
Registered with this firm since 8/19/2022

IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
100 Keller Pkwy, Keller, TX 76248-2201
Rhome, TX
Registered with this firm since 8/19/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/19/2021 - 08/22/2022 PNC INVESTMENTS (CRD#:129052) FORT WORTH, TX
B
08/16/2021 - 08/22/2022 PNC INVESTMENTS (CRD#:129052) FORT WORTH, TX
IA
03/28/2017 - 08/17/2021 PNC MANAGED ACCOUNT SOLUTIONS, INC. (CRD#:110476) Azle, TX
B
05/16/2013 - 08/16/2021 BBVA SECURITIES INC. (CRD#:27060) FORT WORTH, TX
B
06/30/2010 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) GRAPEVINE, TX
B
09/05/2008 - 04/17/2009 MML INVESTORS SERVICES, INC. (CRD#:10409) HOUSTON, TX
B
04/07/2005 - 09/26/2006 WM FINANCIAL SERVICES, INC. (CRD#:599) HOUSTON, TX
B
05/12/2004 - 02/01/2005 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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