Brian R. Keating

MAREX CAPITAL MARKETS

New York, NY 10017

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CRD#: 2505015

Professional summary

Brian Robert Keating, who also goes by Brian R Keating, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2002. Brian has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian R Keating

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 Brian Robert Keating'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

March 19, 2024 - Present

MAREX CAPITAL MARKETS INC.

Office #1: 140 East 45th Street 10th Floor, New York, NY 10017

CRD#: 161014

New York, NY

Past

November 7, 2012 - February 29, 2024

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

November 1, 2010 - October 26, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 23, 2009 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

December 7, 2004 - June 10, 2009

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

October 29, 2002 - November 1, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(3/19/2024)

Exams

State Security Law Exam

Series 63

Date: 1/27/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/28/2002

General Securities Representative Examination

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.

CRD#: 161014 / SEC#: , 8-69039

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

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Contact information

Main Address

140 East 45th Street 10th Floor, New York, NY 10017

Mailing Address

140 East 45th Street 10th Floor, New York, NY 10017

Phone number

(212) 618-2800

Established

New York since 01/10/1952

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MAREX SERVICES INC.	DIRECT OWNER
BATES, CHRISTOPHER	FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR	5648556
BERNICKY, JENNIFER KAISER	CHIEF OPERATING OFFICER, DIRECTOR	4781625
CHERRY, ELIN LYNNE	CHIEF COMPLIANCE OFFICER	2430837
FALCO, CARMINE DOMENICO	PRINCIPAL OPERATIONS OFFICER	2782798
HOOD, STEPHEN MICHAEL	DIRECTOR	3139127
VITTAL, MAHESH RAM	PRES. & CEO, DIRECTOR	4593014

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Brian R. Keating

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Robert Keating's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIZUHO SECURITIES USA LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/28/2002

Cboe C2 Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MAREX CAPITAL MARKETS INC.

TRUST BUT VERIFY

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