Brian P. Brody

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CRD#: 2646008

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.

Brian Patrick Brody was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1995. Brian had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 6, 2018 - July 23, 2018

INTELLIGENT CROSS LLC

CRD#: 288946

STAMFORD, CT

Past

March 22, 2012 - August 11, 2015

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

February 1, 2006 - January 3, 2011

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270

PHILADELPHIA, PA

Past

October 26, 2004 - January 3, 2011

NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295

NEW YORK, NY

Past

February 3, 2003 - September 17, 2004

INSTINET, LLC

CRD#: 42886

NEW YORK, NY

Past

May 28, 2002 - February 1, 2006

INET ATS, INC.

CRD#: 20746

JERSEY CITY, NJ

Past

January 6, 1998 - May 29, 2002

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

February 7, 1996 - June 21, 1996

AMERICORP SECURITIES, INC.

CRD#: 30405

NEW YORK, NY

Past

August 21, 1995 - November 17, 1995

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/25/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/10/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/19/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 5/4/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

INTELLIGENT CROSS LLC

INTELLIGENT CROSS LLC | XIMPACT CROSS, LLC

CRD#: 288946 / SEC#: , 8-69970

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

Soundview Plaza 1266 E Main Street, Suite 700r, Stamford, CT 06902

Mailing Address

Soundview Plaza 1266 E Main Street, Suite 700r, Stamford, CT 06902

Phone number

(212) 621-9640

Established

Delaware since 11/16/2016

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
IMPERATIVE EXECUTION INC.	SOLE MEMBER
CROSS, ANNA	FINANCIAL AND OPERATIONS PRINCIPAL	5894013
KURSMAN, SCOTT CHARLES	CHIEF COMPLIANCE OFFICER	2590327
PALAZZO, JOHN MICHAEL	CEO, CO-COO	1362228
PENA, PETER JONATHAN	HEAD OF TRADING OPERATIONS	6847261

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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Advisor Monitoring

Firm Stability Insights

Brian P. Brody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

NASDAQ EXECUTION SERVICES, LLC

NASDAQ CAPITAL MARKETS ADVISORY LLC

INSTINET, LLC

INET ATS, INC.

TD AMERITRADE, INC.

AMERICORP SECURITIES, INC.

CHATFIELD DEAN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/1995

SIE

Date: 7/23/2018

Series 55

Date: 7/10/2002

Series 7

Date: 8/19/1995

Series 24

Date: 6/7/2001

Series 8

Date: 5/4/1999

Current Firm

INTELLIGENT CROSS LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INTELLIGENT CROSS LLC

TRUST BUT VERIFY

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