Brian D Pellegrini
Investment Adviser Representative at ESI Financial Advisors
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Brian D. Pellegrini is an investment adviser representative with ESI Financial Advisors in White Plains, NY, where they have been registered since 2025. They have worked in the securities industry since 2023 and were previously registered with MML Investors Services, LLC. They have passed 4 industry qualification exams, including the Series 7 (general securities representative), Series 63 (state securities agent), and Series 3 (commodity futures). They are registered to provide investment advice in New York.
Office
Advisors at this office: 6
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New York
- Broker:
4 states and territories
Connecticut, New Jersey, New York, Vermont
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Connolly InsightJun 2011 – Dec 2017New York, NY
- Northwestern Mutual Life Insurance CompanyMay 2024 – Sep 2024Milwaukee, WI
- Northwestern Mutual Investment Services LLCMay 2024 – Sep 2024Stamford, CT
- Intertemporal EconomicsJan 2018 – Apr 2024Bedford Hills, NY
- MML Investors Services LLCSep 2024 – May 2025Bedford Hills, NY
- Mass Mutual Life Insurance CompanyJun 2024 – May 2025Bedford Hills, NY
- Equity Services IncMay 2025 – no end date reportedMontpelier, VT
- National LIFE GroupMay 2025 – no end date reportedWhite Plains, NY
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About ESI Financial Advisors
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Firm account minimum
- $10,000
- $1 to $1,000,0001.00%
- $1,000,001 to $2,500,0000.75%
- $2,500,001 to $4,999,9990.60%
- $5,000,000 to $10,000,0000.50%
+1 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Broker-dealer and registered investment adviser services for financial professionals, including operations support, compliance collaboration, business development resources, sales and marketing resources, software integration, and advisory services.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 532
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Montpelier, VT
- Founded:
- 1968
- SEC file number:
- 801-41722
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 1, 2026
View full firm profileOther advisors at ESI Financial Advisors
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian D Pellegrini has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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