Salvatore R. Rios
Professional summary
Salvatore R Rios, who also goes by Salvatore Robert Rios, is a registered financial professional currently at BREAN CAPITAL, LLC located in Summit, New Jersey.
Salvatore is registered as a RR (Registered Representative) and started their career in finance in 1987. Salvatore has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Salvatore R Rios's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2019 - Present
BREAN CAPITAL, LLC
Office #1: 382 Springfield Avenue Suite 517, Summit, NJ 07901February 17, 2016 - October 6, 2016
SAMUEL A. RAMIREZ & COMPANY, INC.
April 24, 2015 - October 5, 2015
WEDBUSH SECURITIES INC.
March 11, 2014 - January 23, 2015
GUGGENHEIM SECURITIES, LLC
May 6, 2013 - November 4, 2013
MAREX CAPITAL MARKETS INC.
May 16, 2011 - April 12, 2013
NAVIGATE ADVISORS
June 3, 2010 - May 17, 2011
SG AMERICAS SECURITIES, LLC
February 19, 2009 - May 11, 2010
MF GLOBAL INC.
August 17, 2004 - August 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1991 - August 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 1987 - August 23, 1990
BNY SECURITIES, 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
(8/2/2019)
Exams
FINRA
Nasdaq Stock Market
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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