Timothy C. 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.
Timothy Conor Brennan, who also goes by Tim Brennan, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1985. Timothy had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 44, Series 55, Series 7, Series 15, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2015 - June 21, 2019
ABN AMRO CLEARING USA LLC
October 17, 2013 - November 11, 2015
ARCHIPELAGO TRADING SERVICES, INC.
October 17, 2013 - November 11, 2015
ARCHIPELAGO SECURITIES L.L.C.
July 29, 2009 - January 16, 2013
RONIN CAPITAL, LLC
November 30, 2007 - June 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2006 - October 3, 2007
CITI ORDER ROUTING AND EXECUTION, LLC
March 15, 2006 - October 3, 2007
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
February 11, 2004 - January 6, 2005
ARAGON INVESTMENTS, LTD.
February 11, 2004 - June 6, 2005
CITADEL SECURITIES LLC
November 6, 2002 - January 30, 2004
MORGAN STANLEY & CO. LLC
October 18, 1985 - June 26, 1987
THE CHICAGO CORPORATION
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 44
Date: 12/27/2007
PCX Market Maker ExamSeries 55
Date: 6/5/2003
Limited Representative-Equity Trader ExamSeries 15
Date: 10/16/1985
Foreign Currency Options ExaminationCurrent Firm
ABN AMRO CLEARING USA LLC
CRD#: 14020 / SEC#: , 8-34354
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ABN AMRO CLEARING HOLDINGS USA LLC | SHAREHOLDER | |
| ARNOLD, JEFFREY WAYNE | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2204052 |
| BREAULT, RONALD CLIFFORD | NY BRANCH OFFICE MANAGER | 2253143 |
| BREAULT, RONALD CLIFFORD | CHIEF COMMERCIAL OFFICER | 2253143 |
| DELHEIMER, MICHAEL FRANCIS | VP FINANCE, FINOP, PRINCIPAL FINANCIAL OFFICER | 5567195 |
| DUINSTRA, BOUDEWIJN | CHIEF EXECUTIVE OFFICER | 5504066 |
| ENGELBERTS, PAULINE MATHILDE | DIRECTOR, BOARD MEMBER | 7350692 |
| GILMORE, KEVIN MICHAEL | PRINCIPAL OPERATIONS OFFICER | 3150898 |
| ONEILL, YULIA V | CHICAGO BRANCH OFFICE MANAGER, ROP | 6313470 |
| SCHELLENS, RUTGER VINCENT CONSTANTIJN | DIRECTOR | 6268503 |
| TAYLOR, TIMOTHY JAMES | PRINCIPAL OPERATIONS OFFICER | 1640795 |
| TYRICHTROVA, MONIKA ALEXANDRA | CHIEF COMPLIANCE OFFICER | 4487708 |
Disclosures
| Regulatory Event | 82 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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