Thomas P. Brennan

NATISA SECURITIES LLC

WESTCHESTER, IL

Some features on this profile are disabled

CRD#: 2672134

Professional summary

Thomas Peter Brennan is a registered financial professional currently at NATISA SECURITIES LLC located in Westchester, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 12 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7 and Series 24 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) - BD

Click below to view Thomas Peter Brennan's 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

November 7, 2023 - Present

NATISA SECURITIES LLC

Office #2: 11221 Summerdale St, Westchester, IL 60154

CRD#: 323904

WESTCHESTER, IL

Past

September 7, 2016 - August 31, 2021

ATREYU TRADING

CRD#: 175371

Westchester, IL

Past

September 10, 2014 - May 22, 2015

LODESTAR SECURITIES CORP.

CRD#: 159532

NEW YORK, NY

Past

July 14, 2014 - December 20, 2017

LITTLE RIVER CAPITAL, LLC

CRD#: 118917

VESTAVIA HILLS, AL

Past

April 1, 2013 - May 17, 2013

GLOBAL-AMERICAN INVESTMENTS, INC.

CRD#: 41802

CHICAGO, IL

Past

November 30, 2012 - September 13, 2013

MONERE INVESTMENTS, INC.

CRD#: 105487

SCHAUMBURG, IL

Past

September 6, 2011 - October 22, 2012

LIVEVOL SECURITIES, INC.

CRD#: 23670

CHICAGO, IL

Past

October 13, 2010 - September 30, 2011

DASH PRIME LLC

CRD#: 41257

CHICAGO, IL

Past

July 15, 2008 - September 13, 2010

RAINMAKER SECURITIES, LLC

CRD#: 132995

CORAL GABLES, FL

Past

August 25, 2006 - December 20, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

CHICAGO, IL

Past

June 23, 2000 - November 29, 2005

PRISMA & COMPANY

CRD#: 41558

NORTHFIELD, IL

Past

October 10, 1995 - November 18, 1999

MIZUHO SECURITIES USA LLC

CRD#: 19647

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

Illinois
(4/10/2024)

New York
(10/10/2024)

Exams

State Security Law Exam

Series 63

Date: 3/12/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 11/7/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 11/7/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NATISA SECURITIES LLC

CRD#: 323904 / SEC#: , 8-71010

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11221 Summerdale St, Westchester, IL 60154

Mailing Address

11221 Summerdale St, Westchester, IL 60154

Phone number

(312) 914-9431

Established

Illinois since 05/02/2022

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HERMOSA HOLDINGS LLC	PARENT COMPANY
BRENNAN, THOMAS PETER	PRINCIPAL & CHIEF EXECUTIVE OFFICER	2672134
OWEN, PETER EUGEAN	FINOP PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER	5657792
SPIROFF, PATRICK GEORGE	CHIEF COMPLIANCE OFFICER	2003622

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas P. Brennan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Peter Brennan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ATREYU TRADING

LODESTAR SECURITIES CORP.

LITTLE RIVER CAPITAL, LLC

GLOBAL-AMERICAN INVESTMENTS, INC.

MONERE INVESTMENTS, INC.

LIVEVOL SECURITIES, INC.

DASH PRIME LLC

RAINMAKER SECURITIES, LLC

VALIC FINANCIAL ADVISORS, INC.

PRISMA & COMPANY

MIZUHO SECURITIES USA LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/12/2024

Series 99TO

Date: 11/7/2023

Series 7TO

Date: 11/7/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/2/1995

Series 24

Date: 11/7/2023

FINRA

Current Firm

NATISA SECURITIES LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NATISA SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors