Steven J. Brennan

AJF CAPITAL MANAGEMENT

New York, NY 10017

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CRD#: 2739189

Professional summary

Steven James Brennan, who also goes by Steven J Brennan, is a registered financial advisor currently at AJF CAPITAL MANAGEMENT, INC. located in New York, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in St Augustine, Florida.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven J Brennan

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.

1) 6/2020 American Portfolios Financial Services, Inc.; New York; Registered Assistant; Investment Related; approximately 20 of hours/month, approximately 17 of hours/during securities trading hours; reach out to clients and potential clients discuss investment opportunities with AJF. 2) 6/2021 AJF Capital Management, Inc; Florida; Chief Compliance Officer; Investment Related; approximately 140 of hours/month, all during securities trading hours; ensure compliance and operational efficiency of the Firm.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Brennan'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

November 22, 2021 - Present

AJF CAPITAL MANAGEMENT, INC.

Office #1: 211 East 43rd St. Suite 2004, New York, NY 10017

RIA

CRD#: 126414

New York, NY

Current

November 15, 2024 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 172 Snowbell Ct., St Augustine, FL 32095

CRD#: 39543

St Augustine, FL

Past

October 11, 2024 - November 20, 2024

OSAIC WEALTH, INC.

CRD#: 23131

NEW YORK, NY

Past

June 22, 2020 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

NEW YORK, NY

Past

July 31, 2018 - June 18, 2019

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

February 13, 2006 - August 3, 2016

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 6, 1996 - February 13, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AJF CAPITAL MANAGEMENT, INC.

AJF CAPITAL MANAGEMENT, INC. | AJF FINANCIAL SERVICES, INC.

CRD#: 126414 / SEC#: 801-94167

RIA

Registered Investment Advisory firm - (4/24/2015 Approved)

New York

Registered Investment Advisory firm - (6/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Florida
(9/1/2022)

Florida
(11/15/2024)

IAR

New York
(11/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/22/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AJF CAPITAL MANAGEMENT, INC.

AJF CAPITAL MANAGEMENT, INC. | AJF FINANCIAL SERVICES, INC.

CRD#: 126414 / SEC#: 801-94167

RIA

Registered Investment Advisory firm - (4/24/2015 Approved)

New York

Registered Investment Advisory firm - (6/16/2015 Terminated)

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Contact information

Main Address

211 East 43rd St. Suite 2004, New York, NY 10017

Mailing Address

Phone number

(212) 779-0789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (11/14/2025)

Regulatory assets under management

Total Number of Accounts	540
AUM (Assets Under Management)	$ 178,528,881

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

Steven J. Brennan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Brennan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

AJF CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/22/2021

Series 63

Date: 6/13/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/5/1996

FINRA

Current Firm

AJF CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AJF CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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