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JF

Jake Foley

Some features on this profile are disabled
CRD#: 2193816
JF

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.

Jake Foley III, who also goes by Jake Foley III, Jake Foley, was a registered financial professional .

Jake is a previously registered financial professional and started their career in finance in 1992. Jake had worked at 6 firms and has passed the Series 63, SIE, Series 16 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jake Foley Iii | Jake Foley

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

January 18, 2019 - December 14, 2021

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

October 29, 2010 - October 23, 2015

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY
Past

August 22, 2006 - October 11, 2010

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 27, 2002 - August 23, 2006

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 28, 1993 - September 6, 2002

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

February 24, 1992 - November 4, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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: 3/22/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/23/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 16
Date: 11/12/1998
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1992
General Securities Representative Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BMUR HOLDINGS, LLCHOLDING COMPANY
HUNT FS HOLDINGS III, LLCHOLDING COMPANY
ALLURED LLCHOLDING COMPANY
LIZINATOR LLCHOLDING COMPANY
BREAN CAPITAL HOLDINGS, LLCHOLDING COMPANY
CORWEN, STEPHEN MILLERHEAD OF MBS/ABS SALES2943061
FINE, ROBERT MICHAELCHIEF EXECUTIVE OFFICER1450313
GUZMAN, JEFFREY MCHIEF COMPLIANCE OFFICER3095123
LAMARSH, JONATHAN ANDREWPRINCIPAL OPERATIONS OFFICER5436335
MACKLIN, JOHN TIMOTHYPRINCIPAL OPERATIONS OFFICER1446800
SARABELLA, ARNOLDCHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER1717059
TIRSCHWELL, ROBERT MOYSEEXECUTIVE MANAGING DIRECTOR2230453

Disclosures

Regulatory Event12

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

BREAN CAPITAL, LLC

CRD#: 23723

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