Richard A. Brennan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Anthony Brennan, who also goes by Richard Anthony Brennan Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 22 firms and has passed the Series 6, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2003 - February 1, 2005
ARGENTUS SECURITIES, LLC
March 26, 2003 - September 30, 2003
KESTRA INVESTMENT SERVICES, LLC
April 5, 1995 - August 7, 1996
R.M. STARK & CO., INC.
September 19, 1991 - March 24, 1993
A. WEBSTER DOUGHERTY & CO., INCORPORATED
March 30, 1990 - July 25, 1990
LEHWALD, OROSEY & PEPE INCORPORATED
November 7, 1989 - March 6, 1990
LEHWALD, OROSEY & PEPE INCORPORATED
September 21, 1989 - November 13, 1989
PARKER JAMESON, INC.
August 8, 1988 - September 21, 1989
DEAN, JOHNSON & BURKE SECURITIES, INC.
April 12, 1988 - June 10, 1988
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
September 11, 1987 - April 1, 1988
OPPENHEIMER & CO. INC.
July 19, 1985 - March 11, 1988
CENTRE/FOUR SECURITIES, INC.
November 30, 1984 - May 29, 1985
FIRST FLORIDA SECURITIES, INC.
January 28, 1983 - August 13, 1984
GINTEL & CO., LLC
August 5, 1982 - September 23, 1982
SHERWOOD CAPITAL, INC.
June 3, 1981 - August 11, 1982
FIRST FLORIDA SECURITIES, INC.
May 26, 1976 - June 17, 1981
YAMAICHI INTERNATIONAL (AMERICA) INC.
April 15, 1975 - May 26, 1976
DRESDNER SECURITIES (USA) INC.
August 30, 1974 - March 10, 1975
JESUP & LAMONT SECURITIES CO., INC.
June 26, 1974 - August 30, 1974
JESUP & LAMONT INCORPORATED
February 21, 1974 - August 8, 1974
BEACH STREET SECURITIES, INC.
November 30, 1973 - March 18, 1974
DUPONT WALSTON
March 8, 1972 - May 9, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
May 4, 1970 - August 19, 1973
CANTOR FITZGERALD & CO.
July 23, 1968 - February 11, 1972
DUPONT WALSTON, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/23/1959
Registered Representative ExaminationSeries 40
Date: 4/30/1970
Registered Principal ExaminationCurrent Firm
ARGENTUS SECURITIES, LLC
CRD#: 45915 / SEC#: , 8-51230
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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