Frederick Loh
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.
Frederick Loh, who also goes by Frederick Yi Ping Loh, Frederick Yiping Loh, Frederick Loh, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1997. Frederick had worked at 13 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2022 - October 10, 2024
BREAN CAPITAL, LLC
August 9, 2021 - April 27, 2022
MESIROW FINANCIAL, INC.
February 4, 2019 - March 15, 2021
ODEON CAPITAL GROUP LLC
October 1, 2013 - August 31, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
February 13, 2012 - August 5, 2013
CRT CAPITAL GROUP LLC
January 24, 2011 - December 31, 2011
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 12, 2010 - January 3, 2011
WYNSTON HILL CAPITAL, LLC
February 25, 2004 - October 2, 2007
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 11, 2001 - August 7, 2002
J.P. MORGAN SECURITIES LLC
April 10, 2001 - May 1, 2001
JPMSI
September 18, 2000 - July 6, 2001
J.P. MORGAN SECURITIES INC.
July 29, 1997 - July 12, 2000
MERRILL LYNCH GOVERNMENT SECURITIES INC.
May 16, 1997 - July 12, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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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