Jay Brahin
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.
Jay Brahin was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1986. Jay had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2016 - December 31, 2019
E. A. HORWITZ LLC
January 23, 2012 - December 31, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
January 23, 2012 - December 31, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
June 14, 2010 - January 23, 2012
BURNHAM ASSET MANAGEMENT CORP
July 13, 2005 - January 23, 2012
BURNHAM SECURITIES INC.
November 1, 2001 - August 1, 2005
CITIGROUP GLOBAL MARKETS INC.
May 27, 2000 - August 1, 2005
CITIGROUP GLOBAL MARKETS INC.
November 23, 1999 - May 27, 2000
SCHRODER & CO. INC.
November 9, 1999 - December 3, 1999
PERSHING LLC
July 1, 1998 - November 18, 1999
COWEN AND COMPANY
February 3, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
April 27, 1993 - February 2, 1996
CIBC WORLD MARKETS CORP.
September 20, 1989 - April 28, 1993
RODMAN & RENSHAW INC.
October 27, 1986 - April 28, 1993
RODMAN & RENSHAW INC.
Primary Firm SEC Registration
E. A. HORWITZ LLC
CRD#: 165561 / SEC#: 801-77366
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
E. A. HORWITZ LLC
CRD#: 165561 / SEC#: 801-77366
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 369 |
| AUM (Assets Under Management) | $ 221,419,170 |
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.
