RC
Russell P. Certo
BREAN CAPITAL
WINTER PARK, FL 32789
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CRD#: 2195416
RC
Russell Peter CertoBREAN CAPITAL
Professional summary
Russell Peter Certo, who also goes by Russ Certo, is a registered financial professional currently at BREAN CAPITAL, LLC located in Winter Park, Florida.
Russell is registered as a RR (Registered Representative) and started their career in finance in 1991. Russell has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53 and Series 24 exams.
Aliases
Russ Certo
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 Russell Peter Certo'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 9, 2012 - Present
BREAN CAPITAL, LLC
Office #1: 501 S New York Avenue Suite 240, Winter Park, FL 32789BD
CRD#: 23723
WINTER PARK, FL
Past
February 9, 2009 - July 25, 2012
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
June 2, 2003 - December 10, 2008
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
GREENWICH, CT
Past
June 10, 1992 - June 6, 2003
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
December 9, 1991 - June 2, 1992
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 9, 1991 - June 2, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(10/9/2012)
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Alaska(10/9/2012)
RR
Arizona(10/9/2012)
RR
Arkansas(10/9/2012)
RR
California(10/9/2012)
RR
Colorado(10/9/2012)
RR
Connecticut(10/9/2012)
RR
Delaware(10/9/2012)
RR
District of Columbia(10/9/2012)
RR
Florida(10/9/2012)
RR
Georgia(10/9/2012)
RR
Hawaii(10/9/2012)
RR
Idaho(10/9/2012)
RR
Illinois(10/9/2012)
RR
Indiana(10/9/2012)
RR
Iowa(10/9/2012)
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Kansas(10/9/2012)
RR
Kentucky(10/9/2012)
RR
Louisiana(10/9/2012)
RR
Maine(10/9/2012)
RR
Maryland(10/9/2012)
RR
Massachusetts(10/9/2012)
RR
Michigan(10/9/2012)
RR
Minnesota(10/9/2012)
RR
Mississippi(10/9/2012)
RR
Missouri(10/9/2012)
RR
Montana(10/9/2012)
RR
Nebraska(10/9/2012)
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Nevada(10/9/2012)
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New Hampshire(10/9/2012)
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New Jersey(10/9/2012)
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New Mexico(10/9/2012)
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New York(10/9/2012)
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North Carolina(10/9/2012)
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North Dakota(10/9/2012)
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Ohio(10/9/2012)
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Oklahoma(10/9/2012)
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Oregon(10/9/2012)
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Pennsylvania(10/9/2012)
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Puerto Rico(10/9/2012)
RR
Rhode Island(10/9/2012)
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South Carolina(10/9/2012)
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South Dakota(10/9/2012)
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Tennessee(10/9/2012)
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Texas(10/9/2012)
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Utah(10/9/2012)
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Vermont(10/9/2012)
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Virginia(10/9/2012)
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Washington(10/9/2012)
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West Virginia(10/9/2012)
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Wisconsin(10/9/2012)
RR
Wyoming(10/9/2012)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Passed: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Company Information
BREAN CAPITAL, LLC
CRD#: 23723Winter Park, FL 32789TRUST BUT VERIFY
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