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BH

Brian K. Hewitt

Some features on this profile are disabled
CRD#: 1709710
BH

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.

Brian Keith Hewitt, who also goes by Brian Kieth Hewitt, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1996. Brian had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Kieth Hewitt

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 29, 2007 - June 3, 2013

JEFFERIES HIGH YIELD TRADING, LLC

BD
CRD#: 47363
STAMFORD, CT
Past

April 25, 2005 - March 6, 2026

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

May 16, 2003 - December 6, 2005

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

September 5, 2000 - April 3, 2003

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

June 29, 2000 - September 5, 2000

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

August 8, 1996 - May 11, 2000

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/13/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/1996
General Securities Representative Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/30/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

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 Event2

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

JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363

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