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BS

Brendan J. Shanahan

COHEN & COMPANY SECURITIES
BOCA RATON, FL 33431
Some features on this profile are disabled
CRD#: 2270153
BS

Professional summary

Brendan Jeremiah Shanahan, who also goes by Brendan Shanahan, is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in Boca Raton, Florida.

Brendan is registered as a RR (Registered Representative) and started their career in finance in 1992. Brendan has worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brendan Shanahan

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) - BD

Click below to view Brendan Jeremiah Shanahan's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 31, 2014 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 1800 N. Military Trail Suite 450, Boca Raton, FL 33431
BD
CRD#: 149758
BOCA RATON, FL
Past

November 18, 2013 - January 31, 2014

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
BOCA RATON, FL
Past

March 1, 2013 - September 26, 2013

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
STAMFORD, CT
Past

June 25, 2012 - March 7, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
MEMPHIS, TN
Past

December 7, 2010 - June 27, 2012

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
CHICAGO, IL
Past

January 23, 2008 - September 28, 2010

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA
Past

January 5, 2004 - November 19, 2007

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

July 1, 2003 - February 26, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 22, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 28, 1997 - April 23, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 21, 1992 - April 23, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

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
Florida
(1/31/2014)
RR
New York
(2/1/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 11/6/1992
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 3
Date: 11/21/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/17/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

CRD#: 149758 / SEC#: , 8-68186

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758Boca Raton, FL 33431

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