Brian has served as in-house General Counsel and Corporate Secretary for Cetera Financial Group, one of the nation’s largest network of independent financial advisors, where he served on the Executive Management Committee and was the chief legal advisor to the Board of Directors, CEO and executive management. He previously was General Counsel and Corporate Secretary at HD Vest Financial Services (now Avantax Wealth Management), where he led all legal functions for the company, a former subsidiary of Wells Fargo. Before that he served seven years as Senior Company Counsel to Wells Fargo’s Wealth Management Group, where he lead the legal group for Wells Fargo’s retail brokerage operations, providing legal, compliance and risk management advice on all aspects of broker-dealer, investment adviser and insurance operations. He also previously served as Senior Counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC), as counsel to former SEC Commissioner Cynthia Glassman, and as the associate general counsel for corporate and compliance functions at American General Financial Group.
Brian is a member of the Texas, New York and District of Columbia Bars, and holds Series 7 and 24 FINRA securities registrations.
- Texas Bar, 2020
- New York Bar, 1995
- District of Columbia Bar, 1996
Published Articles/ White papers
- An Argument Against Imposing the Federal “Case or Controversy” Requirement on State Courts, 69 N.Y.U. L. Rev. 77 (1994)
- Member of the Penn State Schreyer Honors College External Advisory Board.