Robert Brennan
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.
Robert Brennan, who also goes by Robert Scott Brennan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 3 firms and has passed the Series 63, Series 55, Series 7, Series 25, Series 24, Series 14 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - April 11, 2014
LAMPERT CAPITAL MARKETS INC.
October 1, 2000 - January 6, 2014
KCCI, LTD.
August 15, 1996 - December 15, 2000
HAPOALIM SECURITIES USA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/29/2001
Limited Representative-Equity Trader ExamSeries 25
Date: 2/15/2000
NYSE Trading Assistant ExaminationSeries 12
Date: 10/1/2000
NYSE Branch Manager ExaminationCurrent Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
