Thomas J. Holleb
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.
Thomas John Holleb, CPWA®, who also goes by Thomas Holleb, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2026 - July 8, 2026
BREAN CAPITAL, LLC
February 7, 2022 - October 9, 2023
CALAMOS WEALTH MANAGEMENT LLC
December 4, 2017 - October 9, 2023
CALAMOS FINANCIAL SERVICES LLC
August 25, 2015 - November 14, 2017
DEUTSCHE BANK SECURITIES INC.
July 24, 2014 - August 12, 2015
GOLDMAN SACHS & CO. LLC
October 22, 2012 - March 19, 2014
BNP PARIBAS SECURITIES CORP.
June 27, 2011 - September 28, 2012
JEFFERIES LLC
September 22, 2008 - April 18, 2011
BARCLAYS CAPITAL INC.
August 16, 1995 - September 22, 2008
LEHMAN BROTHERS 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
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
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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