Brian J. Waltman
Professional summary
Brian Jay Waltman is a registered financial professional currently at BREAN CAPITAL, LLC located in Summit, New Jersey.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1983. Brian has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Jay Waltman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2013 - Present
BREAN CAPITAL, LLC
Office #1: 382 Springfield Avenue Suite 517, Summit, NJ 07901December 1, 2011 - January 2, 2013
GLEACHER & COMPANY SECURITIES, INC.
June 2, 2011 - December 5, 2011
MF GLOBAL INC.
May 28, 2003 - May 5, 2011
UBS SECURITIES LLC
December 15, 1995 - June 4, 2003
HSBC SECURITIES (USA) INC.
April 30, 1991 - October 6, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
September 22, 1987 - April 30, 1991
MABON, NUGENT & CO.
May 29, 1987 - October 5, 1987
UBS FINANCIAL SERVICES INC.
February 6, 1986 - February 28, 1986
PHILIPS, APPEL & WALDEN, INC.
July 22, 1985 - February 6, 1986
GINTELCO, INC.
February 24, 1983 - June 29, 1985
GINTEL & CO., LLC
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Nasdaq Stock Market
Current 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
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