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Steven Brahy

Steven Brahy

MADISON AVENUE SECURITIES
Los Angeles, CA 90004
Some features on this profile are disabled
CRD#: 1500778
Steven Brahy

Professional summary

Steven Brahy, CFP®, who also goes by Steve Brahy, Steven Michael Brahy, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Los Angeles, California.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Steven has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Steve Brahy | Steven Michael Brahy

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.
1. NAME OF BUSINESS: EMPRESS INVESTMENT GROUP POSITION: RSA NATURE: FINANCIAL ADVISORY PRACTICE INVOLVING SECURITIES AND INSURANCE. INVESTMENT RELATED: YES NUMBER OF HOURS: 160 INVESTMENT RELATED HOURS: START DATE: 02/23/2021 ADDRESS: 3205 OCEAN PARK BLVD, #160, SANTA MONICA CA 90405 DESCRIPTION: Wealth management, insurance and investment advisory services. Comprehensive financial planning.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Brahy's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Steven Brahy's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 1996

Experience

Current

February 26, 2021 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 321 N. Larchmont Blvd, Suite 800, Los Angeles, CA 90004
RIA
BD
CRD#: 23224
Los Angeles, CA
Current

June 14, 2021 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 321 N. Larchmont Blvd, Suite 800, Los Angeles, CA 90004
RIA
BD
CRD#: 23224
Los Angeles, CA
Past

October 6, 2010 - November 4, 2011

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
MONTROSE, CA
Past

October 6, 2010 - November 4, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
MONTROSE, CA
Past

July 24, 2009 - May 17, 2010

SECURITIES AMERICA, INC.

BD
CRD#: 10205
GLENDALE, CA
Past

June 15, 2009 - May 14, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
GLENDALE, CA
Past

June 12, 2009 - May 14, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
GLENDALE, CA
Past

June 1, 2009 - June 23, 2009

MORGAN STANLEY

RIA
CRD#: 149777
PASADENA, CA
Past

June 1, 2009 - June 23, 2009

MORGAN STANLEY

BD
CRD#: 149777
PASADENA, CA
Past

July 8, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
PASADENA, CA
Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
PASADENA, CA
Past

April 25, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

June 25, 1986 - November 28, 1988

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
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

IAR
California
(2/26/2021)
RR
Florida
(7/28/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/21/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/13/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/21/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1986
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MADISON AVENUE SECURITIES FORM ADV PART 2A 3-26-2025 (10/3/2025)
MADISON AVENUE SECURITIES WRAP PROGRAM BROCHURE 3-26-2025 (10/3/2025)

Direct owners and executive officers

NamePositionCRD#
KT EQUITY PARTNERS II, LLCDIRECT OWNER
CALLANAN, DAVID JAMESMEMBER4237166
FIXSEN, VILAYPHONECHIEF OPERATING OFFICER4585926
FOSTER, CODY GRANTMEMBER4237075
JENSEN, GAIL MARIEDEPUTY CHIEF COMPLIANCE OFFICER1943705
MCNEES, MARTIN WILLIAMPRESIDENT3168410
METCALFE, INC.OWNER
PIERSON, MELISSA KAYCHIEF COMPLIANCE OFFICER1685017
SCHENDEL, JENNIFERMEMBER6136948
WOODS, SANDRA ANNFINOP6200533

Regulatory assets under management

Total Number of Accounts14,100
AUM (Assets Under Management)$ 2,038,801,712

Disclosures

Regulatory Event8
Arbitration1

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.

Company Information

MADISON AVENUE SECURITIES, LLC

CRD#: 23224Los Angeles, CA 90004

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