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Brian Keith Hewitt

CRD# 1709710·Registered 1996 - 2013
Previously Registered: Being a previously registered professional could mean that Brian 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.

Professional Summary

Brian Keith Hewitt, who also goes by Brian Kieth Hewitt, was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 1996 - 2013. Brian had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Brian Kieth Hewitt

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

30 years registered in the securities industry

Current & Past Employments

Past

JEFFERIES LLCPast·CRD# 2347
BD
New York, NY
April 25, 2005 - March 6, 2026
JEFFERIES HIGH YIELD TRADING, LLCPast·CRD# 47363
BD
Stamford, CT
March 29, 2007 - June 3, 2013
SEAPORT GLOBAL SECURITIES LLCPast·CRD# 116270
BD
New York, NY
May 16, 2003 - December 6, 2005
APEX CLEARING CORPORATIONPast·CRD# 13071
BD
Dallas, TX
September 5, 2000 - April 3, 2003
ROBERTSON STEPHENS, INC.Past·CRD# 41271
BD
San Francisco, CA
June 29, 2000 - September 5, 2000
SCHRODER & CO. INC.Past·CRD# 6112
BD
New York, NY
August 8, 1996 - May 11, 2000

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Current Firm

JH
JEFFERIES HIGH YIELD TRADING, LLC

JEFFERIES EMPLOYEES OPPORTUNITY FUND, LLC | JEFFERIES PARTNERS OPPORTUNITY FUND II, LLC | JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363 / SEC#: 8-51771
BD
Terminated by SEC on 06/01/2013

Contact Information

Established

Delaware since 03/30/1999

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
JEFFERIES HIGH YIELD HOLDINGMEMBER—
HANDLER, RICHARD BRIANCEO, PRESIDENT AND COO1563245
HARTEVELDT, ROBERT LONDONPRESIDENT1831652
SCORAN, LAURI ACHIEF COMPLIANCE OFFICER2060170
WELCH, ROBERT JOSEPHCHIEF FINANCIAL OFFICER AND SECRETARY2442679

Disclosures

Regulatory Event

2

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1996About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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