Role at Commonwealth Equity Services
- Title on Schedule A
- Managing Principal, Chief Investment Officer
- Control
- Brian Price is a control person of Commonwealth Equity Services.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Brian Price has held the filed role since June 2022.
The firm
Form ADV filed 29 September 2026
Career on record
Brian Price has been registered through Commonwealth Equity Services since February 2003.
- Passed SIE · 2018
- – present · 17 years, · Adviser representative · Firm CRD 8032
- Passed Series 65 · 2003
- – present · 24 yearsNewburyport, MA · Adviser representative and broker · Firm CRD 8032
- Passed Series 7 and Series 63 · 1999
Registrations and exams
Brian Price has a current investment-adviser registration in Massachusetts and has passed 4 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Massachusetts | Investment adviser representative | Approved | 2 February 2010 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 9 May 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 November 1999 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 18 October 1999 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Brian Thomas Price
- CRD
- 4019817
- Registration status
- Investment adviser and broker registrations
- Firm bio
- commonwealth.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Commonwealth identifies Brian Price as Chief Investment Officer and says he oversees its research efforts and PPS Select platform. Official firm biography/team page
Education
- Bachelor’s degree in Government, Georgetown University.Official firm biography/team page
Common questions
Where does Brian Price work?
Brian Price has been Managing Principal, Chief Investment Officer of Commonwealth Equity Services, LLC since June 2022, and is a control person of the firm.
Is Brian Price a financial advisor?
Yes. Brian Price has a current investment-adviser registration in Massachusetts, through Commonwealth Equity Services since February 2003, as of 17 October 2026.
How many years of experience does Brian Price have?
Brian Price has worked in the financial industry for 26 years as of 17 October 2026, counted from 24 March 2000, across 1 adviser firm.
What exams has Brian Price passed?
Brian Price has passed 4 licensing exams: the Series 7, Series 63, Series 65 and SIE. The earliest, the Series 7, was passed in October 1999.
Leadership at Commonwealth Equity Services
- Wayne Michael BloomManaging Director, Chief Executive Officer
- Peggy Lynn HoGeneral Counsel, Senior Vice President
- Christopher Anthony Trapnell KlomanChief Operations Officer, President
- Jonathan C. CleasbyChief Financial Officer
- Robert Eric MolinariRIA Chief Compliance Officer
- Matthew John SugdenBD Chief Compliance Officer
- Jonathan Christiaan BohsManaging Principal, Operations
- Kirby Lepak Horan-AdamsManager
- Steven Philip MorrisonManager