SB
Scott E. Buchta
BREAN CAPITAL
New York, NY 10017
Some features on this profile are disabled
CRD#: 1792568
SB
Professional summary
Scott Edward Buchta, who also goes by Scott E Buchta, is a registered financial professional currently at BREAN CAPITAL, LLC located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1988. Scott has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott E Buchta
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.
CRS (Client Relationship Summary) - BD
Click below to view Scott Edward Buchta's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 3, 2012 - Present
BREAN CAPITAL, LLC
Office #1: 505 Fifth Avenue 5th Floor, New York, NY 10017Office #2: 5000 Meridian Boulevard Suite 160, Franklin, TN 37067BD
CRD#: 23723
New York, NY
Past
April 13, 2011 - September 13, 2012
SANDLER, O'NEILL & PARTNERS, L.P.
BD
CRD#: 23328
CHICAGO, IL
Past
June 10, 2010 - April 7, 2011
BRAVER STERN SECURITIES LLC
BD
CRD#: 29108
CHICAGO, IL
Past
July 1, 2008 - June 16, 2010
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
CHICAGO, IL
Past
October 3, 1988 - June 10, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICAGO, IL
Past
March 30, 1988 - September 21, 1988
PLANSMITH SECURITIES,INC.
BD
CRD#: 14467
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/3/2012)
RR
Arizona(8/12/2019)
RR
California(10/3/2012)
RR
Colorado(10/3/2012)
RR
Connecticut(10/3/2012)
RR
District of Columbia(8/13/2019)
RR
Florida(8/13/2019)
RR
Georgia(10/3/2012)
RR
Illinois(10/3/2012)
RR
Indiana(10/3/2012)
RR
Iowa(10/3/2012)
RR
Kansas(8/13/2019)
RR
Kentucky(10/3/2012)
RR
Massachusetts(10/3/2012)
RR
Michigan(10/3/2012)
RR
Minnesota(10/3/2012)
RR
Missouri(10/3/2012)
RR
Nebraska(10/3/2012)
RR
Nevada(10/3/2012)
RR
New Hampshire(8/13/2019)
RR
New Jersey(10/3/2012)
RR
New York(10/3/2012)
RR
North Carolina(10/3/2012)
RR
Ohio(10/3/2012)
RR
Oregon(10/3/2012)
RR
Pennsylvania(10/3/2012)
RR
Puerto Rico(8/13/2019)
RR
Rhode Island(10/3/2012)
RR
Tennessee(8/13/2019)
RR
Texas(10/3/2012)
RR
Utah(8/13/2019)
RR
Vermont(8/13/2019)
RR
Virginia(8/13/2019)
RR
Washington(10/3/2012)
RR
Wisconsin(10/3/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BC
BREAN CAPITAL, LLC
BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.
CRD#: 23723 / SEC#: , 8-40742
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Mailing Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Phone number
(212) 702-6500
Established
Delaware since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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
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.
