Stephen F. 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.
Stephen Frank Brennan was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1972. Stephen had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 1984 - August 21, 1985
SUTRO & CO. INCORPORATED
April 4, 1983 - September 28, 1983
FINANCIAL SQUARE PARTNERS
November 9, 1982 - March 15, 1983
BOETTCHER & COMPANY, INC.
November 11, 1980 - October 21, 1982
BECKER PARIBAS INCORPORATED
April 25, 1979 - November 17, 1980
J.P. MORGAN SECURITIES LLC
May 19, 1978 - June 29, 1979
KIDDER, PEABODY & CO. INCORPORATED
August 20, 1976 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
February 1, 1972 - August 26, 1976
DAVIS, SKAGGS & CO., INC.
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: 1/20/1972
Registered Representative ExaminationCurrent Firm
SUTRO & CO. INCORPORATED
CRD#: 801 / SEC#: , 8-15491
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SUTRO GROUP | HOLDING CO. / SUTRO & CO. | |
| DELANEY, MARY JANE | EXECUTIVE VICE PRESIDENT / GENERAL COUNSEL / SECRETARY | 1194845 |
| HUBBARD, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT/DIRECTOR | 846511 |
| LUIKART, JOHN FORD | CEO | 314209 |
| MATSUI, ROGER NAOKI | CHIEF FINANCIAL OFFICER | 1672347 |
| MCCARTHY, DENIS JOSEPH | DIRECTOR OF COMPLIANCE REGULATORY AFFAIRS | 1415768 |
| PHILLIPS, JERRY DON | EXECUTIVE VICE PRESIDENT | 1308109 |
| TUCKER ANTHONY SUTRO INCORPORATED | PARENT COMPANY | |
| WILLFONG, DONALD JAMES | DIRECTOR | 467416 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 1 |
| Bond | 1 |
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.
