James P. Brennan
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.
James Patrick Brennan SR, who also goes by James Patrick Brennan, Jim Brennan Sr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 3 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 1989 - April 18, 1990
MONACO SECURITIES, INC.
March 7, 1989 - November 9, 1989
GILLESPIE & HOLLAND, INC.
July 22, 1988 - December 31, 1988
GILLESPIE & HOLLAND, INC.
September 23, 1983 - July 27, 1988
MORGAN STANLEY DW INC.
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 8
Date: 10/9/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MONACO SECURITIES, INC.
CRD#: 15719 / SEC#: , 8-32604
Contact information
Documents
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.
