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Detailed Report
BRIAN CHRISTOPHER LIPPS
CRD#: 3093271
IA
Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 Haddonfield, NJ
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2002 (1 year)2 FIRMS2002 - 2013 (11 years)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2018 - Present (6 years)BEF LEGACY SECURITIES, LLC (CRD# 269923)2016 - 2018 (2 years)BSANDERS MORRIS HARRIS LLC (CRD# 20580)2013 - 2016 (2 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)2001 - 2001 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2001 (1 year)BAMERICAN FRONTEER FINANCIAL CO... (CRD# 1398)1998 - 1999 (1 year)IAEDELMAN FINANCIAL SERVICES, LLC (CRD# 113299)2013 - 2018 (5 years)
License(s)

State Registrations

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New Jersey 10/16/2018
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
Haddonfield, NJ
Registered with this firm since 10/16/2018
Previous Registration(s)
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 09/17/2013 - 11/01/2018 EDELMAN FINANCIAL SERVICES, LLC (CRD#:113299) FAIRFAX, VA
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 04/22/2016 - 10/31/2018 EF LEGACY SECURITIES, LLC (CRD#:269923) CHERRY HILL, NJ
B
 09/16/2013 - 04/22/2016 SANDERS MORRIS HARRIS LLC (CRD#:20580) FAIRFAX, VA
IA
 08/07/2002 - 09/24/2013 CHARLES SCHWAB & CO., INC. (CRD#:5393) WASHINGTON DC, DC
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 08/07/2002 - 09/24/2013 CHARLES SCHWAB & CO., INC. (CRD#:5393) WASHINGTON DC, DC
IA
 07/20/2001 - 07/29/2002 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SANTA ANA, CA
B
 05/02/2001 - 07/29/2002 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 04/05/2001 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 01/26/2000 - 04/03/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 08/13/1998 - 12/21/1999 AMERICAN FRONTEER FINANCIAL CORPORATION (CRD#:1398) DENVER, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.
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.