Michael P. 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.
Michael Paris Brennan, who also goes by Michael P Brennan, Michael Paris Brennan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 18 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6, Series 3 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2022 - July 7, 2023
PACIFIC SELECT DISTRIBUTORS, LLC
August 21, 2018 - February 2, 2022
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 21, 2018 - February 2, 2022
MM ASCEND LIFE INVESTOR SERVICES, LLC
May 29, 2013 - March 29, 2016
CURIAN CAPITAL, LLC
May 16, 2013 - June 8, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
November 23, 2011 - October 8, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 2011 - October 8, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2009 - January 13, 2010
CHASE INVESTMENT SERVICES CORP.
November 13, 2006 - March 12, 2007
EQUITABLE ADVISORS, LLC
January 20, 2006 - April 20, 2006
JOSEPH GUNNAR & CO. LLC
September 23, 2005 - October 3, 2005
NOBLE CAPITAL MARKETS, INC.
August 6, 2004 - January 24, 2005
MND PARTNERS, INC.
April 12, 2004 - August 6, 2004
CATANIA, NEIL MICHAEL
March 25, 2004 - January 24, 2005
Z&Z SECURITIES INC.
April 1, 2003 - March 30, 2004
VDM INSTITUTIONAL BROKERAGE, LLC
March 5, 1998 - April 1, 2003
COMMERZ MARKETS LLC
February 13, 1996 - February 2, 1998
NATWEST SECURITIES CORPORATION
January 1, 1994 - January 16, 1996
COWEN EXECUTION SERVICES LLC
September 22, 1987 - January 1, 1994
EXECUTION SERVICES INCORPORATED
May 21, 1987 - September 18, 1987
MORGAN STANLEY & CO. LLC
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 25
Date: 9/2/2003
NYSE Trading Assistant ExaminationCurrent Firm
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
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.
