Jonathan P. Bren

BREN VENTURES LLC

New York, NY 10022

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CRD#: 1343979

Professional summary

Jonathan Peter Bren, who also goes by Jon Bren, Jonathan P Bren, is a registered financial professional currently at BREN VENTURES LLC located in New York, New York.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1985. Jonathan has worked at 9 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 3, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon Bren | Jonathan P Bren

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Peter Bren's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 30, 2006 - Present

BREN VENTURES LLC

Office #1: 590 Madison Avenue, New York, NY 10022

CRD#: 139768

New York, NY

Past

November 11, 2020 - February 16, 2022

LEX

CRD#: 304601

NEW YORK, NY

Past

March 3, 2000 - November 14, 2006

HFV INVESTMENTS, LLC

CRD#: 47771

CARDIFF, CA

Past

December 6, 1996 - September 24, 1997

ALPHA SECURITIES CORP.

CRD#: 36876

NEW YORK, NY

Past

November 12, 1996 - August 20, 1997

SALTA SECURITIES, LDC

CRD#: 38717

Past

July 6, 1992 - January 4, 1996

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580

NEW YORK, NY

Past

June 15, 1989 - September 7, 1990

EDELMAN SECURITIES COMPANY, L.P.

CRD#: 7381

NEW YORK, NY

Past

June 16, 1988 - June 12, 1989

PLAZA SECURITIES COMPANY

CRD#: 8074

Past

February 21, 1985 - April 7, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/12/2017)

Colorado
(9/28/2017)

District of Columbia
(10/2/2017)

Florida
(9/21/2017)

Illinois
(11/7/2017)

Kansas
(12/11/2017)

Maryland
(9/18/2017)

New York
(10/12/2017)

Texas
(11/22/2017)

Exams

State Security Law Exam

Series 63

Date: 9/29/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/21/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BREN VENTURES LLC

CRD#: 139768 / SEC#: , 8-67245

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

445 Park Avenue 9th Floor, New York, NY 10022

Mailing Address

445 Park Avenue 9th, New York, NY 10022

Phone number

(212) 644-8899

Established

Delaware since 12/27/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BREN, JONATHAN PETER	MANAGING MEMBER/CCO
THORNTON, STEVEN LEE	FINOP	4496384

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan P. Bren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Peter Bren's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEX

HFV INVESTMENTS, LLC

ALPHA SECURITIES CORP.

SALTA SECURITIES, LDC

AXIOM CAPITAL MANAGEMENT, INC.

EDELMAN SECURITIES COMPANY, L.P.

PLAZA SECURITIES COMPANY

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/29/2017

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 11/21/1985

Series 7

Date: 2/16/1985

Series 14

Date: 1/2/2023

Series 24

Date: 1/2/2023

FINRA

Current Firm

BREN VENTURES LLC

Contact information

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BREN VENTURES LLC

TRUST BUT VERIFY

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