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Robert J. Anderson

BREAN CAPITAL
New York, NY 10017
Some features on this profile are disabled
CRD#: 2847089
RA

Professional summary

Robert John Anderson is a registered financial professional currently at BREAN CAPITAL, LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Robert John Anderson'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

October 3, 2012 - Present

BREAN CAPITAL, LLC

Office #1: 505 Fifth Avenue 5th Floor, New York, NY 10017
BD
CRD#: 23723
New York, NY
Past

October 11, 2011 - September 26, 2012

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

June 23, 2009 - November 4, 2011

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

April 17, 2008 - May 13, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

January 11, 2007 - June 11, 2007

WESTMINSTER SECURITIES CORPORATION

BD
CRD#: 6105
NEW YORK, NY
Past

January 14, 2004 - January 16, 2004

AMERICAN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 44803
NEW YORK, NY
Past

September 9, 2002 - January 13, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 29, 2002 - September 25, 2002

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

June 17, 1997 - April 29, 2002

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(10/3/2012)
RR
California
(10/3/2012)
RR
Colorado
(6/20/2013)
RR
Connecticut
(10/3/2012)
RR
Florida
(8/14/2013)
RR
Georgia
(2/4/2015)
RR
Massachusetts
(10/3/2012)
RR
Missouri
(11/19/2019)
RR
New Jersey
(10/3/2012)
RR
New York
(10/3/2012)
RR
Ohio
(10/3/2012)
RR
Pennsylvania
(10/3/2012)
RR
Texas
(7/22/2013)
RR
Virginia
(2/24/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/17/1997
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BC
BREAN CAPITAL, LLC
BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.

CRD#: 23723 / SEC#: , 8-40742

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Mailing Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Phone number
(212) 702-6500
Established
Delaware since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BMUR HOLDINGS, LLCHOLDING COMPANY
HUNT FS HOLDINGS III, LLCHOLDING COMPANY
ALLURED LLCHOLDING COMPANY
LIZINATOR LLCHOLDING COMPANY
BREAN CAPITAL HOLDINGS, LLCHOLDING COMPANY
CORWEN, STEPHEN MILLERHEAD OF MBS/ABS SALES2943061
FINE, ROBERT MICHAELCHIEF EXECUTIVE OFFICER1450313
GUZMAN, JEFFREY MCHIEF COMPLIANCE OFFICER3095123
LAMARSH, JONATHAN ANDREWPRINCIPAL OPERATIONS OFFICER5436335
MACKLIN, JOHN TIMOTHYPRINCIPAL OPERATIONS OFFICER1446800
SARABELLA, ARNOLDCHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER1717059
TIRSCHWELL, ROBERT MOYSEEXECUTIVE MANAGING DIRECTOR2230453

Disclosures

Regulatory Event12

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.

Company Information

BREAN CAPITAL, LLC

CRD#: 23723New York, NY 10017

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