Brian R. Callahan

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CRD#: 2053532

Professional summary

Brian Raymond Callahan was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Brian had worked at 7 firms, which includes CITY NATIONAL ROCHDALE, CNR SECURITIES LLC, CREDIT SUISSE PRIVATE ADVISORS AG, BLACKROCK EXECUTION SERVICES, BOLTON GLOBAL CAPITAL, H.C.WAINWRIGHT & CO. LLC, GRUNTAL & CO. L.L.C..

Question & Answer

Are you a "fiduciary"?

Aliases

Brian R Callahan

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

May 19, 2004 - September 28, 2006

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

NEW YORK, NY

Past

May 19, 2004 - September 28, 2006

CNR SECURITIES, LLC

CRD#: 18466

NEW YORK, NY

Past

February 19, 2003 - January 30, 2004

CREDIT SUISSE PRIVATE ADVISORS AG

CRD#: 112892

ZURICH,

Past

January 7, 2000 - November 13, 2002

BLACKROCK EXECUTION SERVICES

CRD#: 39438

NEW YORK, NY

Past

March 9, 1998 - March 5, 1999

BOLTON GLOBAL CAPITAL

CRD#: 15650

BOLTON, MA

Past

January 11, 1994 - April 15, 1998

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

April 2, 1993 - January 17, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CITY NATIONAL ROCHDALE

CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/1/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/1/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/28/1997

General Securities Principal Examination

Current Firm

CITY NATIONAL ROCHDALE

CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 Approved)

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Contact information

Main Address

400 Park Avenue 10th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 702-3500

Established

Firm type

Fiscal year end

# of Employees

235

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CNR ADV PART 2A WRAP FEE BROCHURE - OCTOBER 28, 2025 (10/28/2025)

CNR ADV PART 2A BROCHURE - OCTOBER 28, 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	41,300
AUM (Assets Under Management)	$ 68,177,828,012

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Brian R. Callahan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CNR SECURITIES, LLC

CREDIT SUISSE PRIVATE ADVISORS AG

BLACKROCK EXECUTION SERVICES

BOLTON GLOBAL CAPITAL

H.C.WAINWRIGHT & CO., LLC

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

CITY NATIONAL ROCHDALE

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/1995

Series 63

Date: 4/26/1993

Series 7

Date: 4/1/1993

Series 24

Date: 8/28/1997

Current Firm

CITY NATIONAL ROCHDALE

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CITY NATIONAL ROCHDALE

TRUST BUT VERIFY

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