Edward M. 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.
Edward Michael Brennan was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1983. Edward had worked at 13 firms and has passed the Series 65, Series 63, 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
November 8, 2012 - August 28, 2013
FINTEGRA, LLC
November 8, 2012 - August 28, 2013
FINTEGRA, LLC
February 22, 2010 - November 15, 2010
VERITRUST FINANCIAL, LLC
February 17, 2010 - November 15, 2010
VERITRUST FINANCIAL, LLC
November 5, 2007 - February 26, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
November 5, 2007 - February 26, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
February 7, 2007 - September 12, 2007
KINECTA FINANCIAL & INSURANCE SERVICES
January 23, 2007 - August 31, 2007
LPL FINANCIAL LLC
January 23, 2007 - August 31, 2007
LPL FINANCIAL LLC
August 17, 2005 - January 4, 2007
PFIC SECURITIES CORPORATION
May 26, 2005 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
January 5, 2004 - May 26, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 2, 2004 - May 26, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 13, 2002 - September 2, 2003
CITICORP INVESTMENT SERVICES
February 2, 1993 - February 5, 2003
CAL FED INVESTMENTS
November 16, 1989 - February 2, 1993
A. G. EDWARDS & SONS, INC.
October 17, 1985 - November 16, 1989
KIDDER, PEABODY & CO. INCORPORATED
September 23, 1983 - November 1, 1985
UBS FINANCIAL SERVICES 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
Current Firm
FINTEGRA, LLC
CRD#: 16741 / SEC#: 801-56275, 8-34434
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINTEGRA HOLDINGS, LLC | SHAREHOLDERS | |
| CAURRO, STEPHEN ANTHONY | BOARD OF DIRECTORS | 5845813 |
| CONNER, DANIEL | BOARD OF DIRECTORS | |
| SCHMITZ, DOUGLAS GENE | BOARD OF DIRECTORS | 1771132 |
| SCHUH, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER, FINOP | 1036839 |
| WALTER, KENNETH JOHN | BOARD OF DIRECTORS | 5845803 |
| WEBER, DOREEN LEA | PRESIDENT/CEO/CCO | 1368639 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
