Richard Anthony Brennan
Professional Summary
Richard Anthony Brennan, who also goes by Richard Anthony Brennan Jr, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1968 - 2005. Richard had worked at 22 firms and has passed the Series 6, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Anthony Brennan Jr
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
67 years in the financial services industry
Current & Past Employments
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Current Firm
ARGENTUS SECURITIES, LLC | SUMMITALLIANCE SECURITIES, L.L.C. | SIG SECURITIES, L.L.C. | CHURCHILL SECURITIES L.C.
Contact Information
Established
Texas since 07/20/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2000About the Series 6 examSeries 1 — Registered Representative Examination
Passed Jul 1959Series 40 — Registered Principal Examination
Passed Apr 1970Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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