Michael R. 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.
Michael Raymond Brennan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 8 firms and has passed the Series 63, Series 7, Series 4, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2004 - July 23, 2004
AMERITRADE NORTHWEST, INC.
September 17, 2002 - January 2, 2003
AMERITRADE INSTITUTIONAL SERVICES, INC.
September 5, 2002 - August 18, 2003
ICAPITAL MARKETS LLC
September 5, 2002 - June 22, 2004
ICLEARING LLC
May 21, 1996 - March 13, 2012
TD AMERITRADE CLEARING, INC.
October 14, 1993 - May 6, 1996
DMG SECURITIES, INC.
June 25, 1992 - May 6, 1996
JW GENESIS CLEARING CORP.
February 3, 1983 - December 17, 1991
MESIROW FINANCIAL, 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
AMERITRADE NORTHWEST, INC.
CRD#: 10215 / SEC#: , 8-26656
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 1 |
Red Flags
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