ML
Michael R. Larocco
BREAN CAPITAL
Uniondale, NY 11556
Some features on this profile are disabled
CRD#: 2914495
ML
Professional summary
Michael Robert Larocco, who also goes by Mike Larocco, is a registered financial professional currently at BREAN CAPITAL, LLC located in Uniondale, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Larocco
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Robert Larocco'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®
NoneExperience
Current
July 17, 2012 - Present
BREAN CAPITAL, LLC
Office #1: 625 Rxr Plaza Suite 1303 West, Uniondale, NY 11556BD
CRD#: 23723
Uniondale, NY
Past
October 16, 2008 - June 8, 2012
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
January 4, 2000 - October 16, 2008
BROADPOINT DESCAP
BD
CRD#: 14997
NEW YORK, NY
Past
July 1, 1997 - January 7, 2000
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
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
California(7/17/2012)
RR
Colorado(7/17/2012)
RR
Connecticut(7/17/2012)
RR
Florida(7/17/2012)
RR
Georgia(7/17/2012)
RR
Illinois(7/17/2012)
RR
Indiana(7/17/2012)
RR
Kansas(7/17/2012)
RR
Louisiana(7/17/2012)
RR
Maryland(7/17/2012)
RR
Massachusetts(7/17/2012)
RR
Minnesota(7/8/2014)
RR
Mississippi(7/17/2012)
RR
Missouri(7/17/2012)
RR
New Jersey(7/17/2012)
RR
New Mexico(11/8/2019)
RR
New York(7/17/2012)
RR
North Carolina(6/16/2015)
RR
Ohio(7/17/2012)
RR
Oklahoma(7/17/2012)
RR
Pennsylvania(7/17/2012)
RR
South Carolina(7/17/2012)
RR
Tennessee(7/17/2012)
RR
Texas(7/17/2012)
RR
Virginia(7/17/2012)
RR
Washington(7/17/2012)
RR
Wisconsin(7/17/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
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.
