Brett Rand
Brett Rand is a registered investment advisor at Osaic Institutions, INC., based in Brooklyn, NY, with 25 years of industry experience. Brett operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.
Location
1979 Ralph Avenue, Brooklyn, NY, 11234
Get directionsHistory
Regulatory History (2)
Customer Dispute
June 2008Employment Separation After Allegations
October 2000Other Business Activities
Brett works at a bank in banking/wealth management/financial services since January 2021. This takes about a quarter of his time.
Employment History
Current Registrations
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Previous Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Hsbc Brokerage (USA) INC.Broker
Pruco Securities, LLC.Broker
Mason Hill & CO., INC.Broker
Hornblower & Weeks, INC.Broker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.