Brian A. Hegarty

HEGARTY ADVISORS

Garden City, NY 11530

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CRD#: 2796075

Professional summary

Brian Andrew Hegarty, who also goes by Brian Andrew Hegarty, Brian Hegarty, is a registered financial advisor currently at HEGARTY ADVISORS, LLC located in Garden City, New York.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Brian has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Andrew Hegarty | Brian Hegarty

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.

Hegarty Advisors, LLC; investment related; 1461 Franklin Ave, Garden City, NY 11530; Independent Financial Advisor; Consultant; March 2023; 8 hours/month; 0 during trading hours; Creating Financial Plans for clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Andrew Hegarty'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

January 5, 2024 - Present

HEGARTY ADVISORS, LLC

Office #1: 1461 Franklin Ave, Garden City, NY 11530

RIA

CRD#: 306342

Garden City, NY

Past

March 13, 2023 - December 31, 2023

HEGARTY ADVISORS, LLC

RIA

CRD#: 306342

GARDEN CITY, NY

Past

January 13, 2020 - August 17, 2023

BERENBERG CAPITAL MARKETS LLC

CRD#: 156757

NEW YORK, NY

Past

June 12, 2017 - December 2, 2019

BTIG, LLC

CRD#: 122225

Garden City, NY

Past

June 5, 1998 - June 22, 2017

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 18, 1996 - February 9, 1998

BARCLAYS CAPITAL INC.

CRD#: 19714

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".

HEGARTY ADVISORS, LLC

CRD#: 306342 / SEC#: 801-124958

RIA

Registered Investment Advisory firm - (5/5/2022 Approved)

New York

Registered Investment Advisory firm - (5/23/2022 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.

Highlighted states indicate IAR registrations

IAR

New York
(1/5/2024)

IAR

Texas
(10/28/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/19/2013

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/17/1996

General Securities Representative Examination

Current Firm

HEGARTY ADVISORS, LLC

CRD#: 306342 / SEC#: 801-124958

RIA

Registered Investment Advisory firm - (5/5/2022 Approved)

New York

Registered Investment Advisory firm - (5/23/2022 Terminated)

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Contact information

Main Address

1461 Franklin Ave, Garden City, NY 11530

Mailing Address

Phone number

(516) 280-2323

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B (1/28/2025)

Regulatory assets under management

Total Number of Accounts	370
AUM (Assets Under Management)	$ 125,300,000

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 A. Hegarty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Andrew Hegarty's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEGARTY ADVISORS, LLC

BERENBERG CAPITAL MARKETS LLC

BTIG, LLC

CREDIT SUISSE SECURITIES (USA) LLC

BARCLAYS CAPITAL INC.

Primary Firm SEC Registration

HEGARTY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2023

Series 63

Date: 10/25/1996

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/19/2013

Series 7

Date: 9/17/1996

Current Firm

HEGARTY ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEGARTY ADVISORS, LLC

TRUST BUT VERIFY

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