Brian Ephraim (CRD# 3066936) is an Investment Advisor Representative working at Commonwealth Financial Network in Capistrano Beach, CA and has over 25 years of experience in the finance industry. Brian Ephraim has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 1622075
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 5480138
Safeguard Investment Advisory Group, LLC
CRD# 1527744
Transamerica Financial Advisors, Inc.
The CFP is the gold standard for financial professionals who perform comprehensive financial planning. CFPs must undergo rigorous exams and meet other requirements to obtain this designation.
Like the CFP, ChFCs take extensive coursework on a wide variety of financial planning topics. ChFCs actually take more coursework than CFPs, but are not required to prove their knowledge through a board examination.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Commonwealth Financial Network | San Diego, CA | May 2022 - Current | 1 |
| Guided Path Wealth Management | Capistrano Beach, CA | Sep 2018 - Current | 5 |
| Commonwealth Financial Network | San Diego, CA | Sep 2018 - May 2022 | 3 |
| Northwestern Mutual Wealth Management Company | Milwaukee, WI | Oct 2009 - Sep 2018 | 8 |
| Northwestern Mutual Investment Services, LLC | Los Angeles, CA | Sep 1998 - Sep 2018 | 20 |
| The Northwestern Mutual Life Insurance C | Milwaukee, WI | Jul 1998 - Sep 2018 | 20 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Oct 1998 |
| S66 | NASAA Uniform Combined State Law Examination | Mar 2006 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
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Total Assets Under Management177,032MILLIONS
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Total Number of Accounts623,075ACCOUNTS
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Average Account Value$284,126
- A percentage of assets under your management
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