Unclaimed Profile

Brian Emerson Booker

N&B ASSOCIATES LLC·RICHMOND, Virginia

SIE, Series 6, Series 7, Series 26, Series 63, Series 6617 years registeredN&B ASSOCIATES LLC

1604 WILMINGTON AVE, RICHMOND, VA 23227CRD# 4649011Firm CRD# 305940

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Brian Emerson Booker · RICHMOND, VA

Registration

CRD #4649011 · N&B ASSOCIATES LLC · 17 years registered

Brand Profile

Not yet started

Career History

PROSPERITY WEALTH MANAGEMENT

Nov 2021 – present

PROSPERITY WEALTH MANAGEMENT

Nov 2019 – Oct 2021

Richmond, VA

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Jun 2009 – Aug 2019

RICHMOND, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 26

Series 63

Series 66

Registration record

First registered · June 8, 2009

Years registered · 17

Disclosure History

2019Customer Dispute·Settled

2009Customer Dispute·Denied

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

N&B ASSOCIATES LLC

CRD 305940 · SEC 801-117607

AUM

$11M

Regulatory assets under management

Employees

53 client accounts

Services offered by N&B ASSOCIATES LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at N&B ASSOCIATES LLC →

Introduction

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Frequently Asked Questions

What services does Brian Emerson Booker offer?

Brian Emerson Booker specializes in Financial Planning, Investment Management. Contact their office in RICHMOND, Virginia for a consultation.

What are Brian Emerson Booker's credentials?

Brian Emerson Booker is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Brian Emerson Booker located?

Brian Emerson Booker is based in RICHMOND, Virginia, working with N&B ASSOCIATES LLC. Their office serves clients in the RICHMOND metropolitan area and surrounding communities.

How does Brian Emerson Booker charge for services?

Brian Emerson Booker's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is N&B ASSOCIATES LLC?

N&B ASSOCIATES LLC has approximately 1 employees and manages $11M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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