Brian W. Foote

MIRAMONTES CAPITAL

POINT LOOKOUT, NY

CRD#: 2382409

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Professional summary

Brian William Foote is a registered financial advisor currently at MIRAMONTES CAPITAL, LLC located in Point Lookout, New York.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Brian has worked at 8 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Brian William Foote'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

June 3, 2026 - Present

MIRAMONTES CAPITAL, LLC

RIA

CRD#: 264786

POINT LOOKOUT, NY

Past

May 23, 2013 - January 5, 2015

D/B/A CLARKSONS PLATOU SECURITIES

CRD#: 113325

NEW YORK, NY

Past

February 2, 2004 - July 12, 2005

INDEPENDENT RESEARCH GROUP LLC

CRD#: 124432

NEW YORK, NY

Past

October 26, 2000 - February 5, 2004

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

July 28, 1995 - December 16, 1995

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

February 26, 1994 - June 30, 1994

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

October 20, 1993 - November 2, 1993

BLUESTONE CAPITAL CORP.

CRD#: 13516

NEW YORK, NY

Past

September 2, 1993 - October 15, 1993

EMANUEL AND COMPANY

CRD#: 7309

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".

MIRAMONTES CAPITAL, LLC

CRD#: 264786 / SEC#: 801-110012

RIA

Registered Investment Advisory firm - (3/2/2017 Approved)

California

Registered Investment Advisory firm - (4/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/3/2026)

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

Series 63

Date: 5/24/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 6/3/2013

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 5/28/2013

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 5/22/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/28/2013

General Securities Principal Examination

Current Firm

MIRAMONTES CAPITAL, LLC

CRD#: 264786 / SEC#: 801-110012

RIA

Registered Investment Advisory firm - (3/2/2017 Approved)

California

Registered Investment Advisory firm - (4/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2017 Terminated)

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Contact information

Main Address

4701 Teller Ave, Newport Beach, CA 92660

Mailing Address

Phone number

+1 (800) 460-1595

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (11/19/2025)

WRAP FEE BROCHURE (11/19/2025)

Regulatory assets under management

Total Number of Accounts	1,245
AUM (Assets Under Management)	$ 296,285,231

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 W. Foote

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian William Foote's CRS (Customer Relationship Summary).

Certified licenses

Experience

D/B/A CLARKSONS PLATOU SECURITIES

INDEPENDENT RESEARCH GROUP LLC

RYAN BECK & CO.

QUEST CAPITAL STRATEGIES, INC.

ALEX. BROWN & SONS INCORPORATED

BLUESTONE CAPITAL CORP.

EMANUEL AND COMPANY

Primary Firm SEC Registration

MIRAMONTES CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/2013

SIE

Date: 1/5/2015

Series 86

Date: 6/3/2013

Series 87

Date: 5/28/2013

Series 7

Date: 5/22/2013

Series 24

Date: 8/28/2013

Current Firm

MIRAMONTES CAPITAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIRAMONTES CAPITAL, LLC

TRUST BUT VERIFY

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