Joseph F. Mannello
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Frank Mannello, who also goes by Joe Frank Mannello, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2013 - August 31, 2016
BREAN CAPITAL, LLC
March 3, 2008 - April 2, 2012
GLEACHER & COMPANY SECURITIES, INC.
March 3, 1998 - March 4, 2008
BNY CAPITAL MARKETS INC.
May 20, 1992 - March 3, 1998
EAGLE ROCK CAPITAL GROUP, INC.
September 1, 1989 - May 1, 1992
PRINTON, KANE GROUP, INC.
June 23, 1988 - September 1, 1989
PRINTON, KANE GOVERNMENT SECURITIES, INC.
August 27, 1987 - July 18, 1988
PRINTON, KANE GOVERNMENT SECURITIES, L.P.
March 1, 1982 - September 1, 1989
PRINTON KANE & CO., L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
