Brian L. O'toole
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.
Brian Lawrence O'toole, who also goes by Brian L Otoole, Brian Lawrence Otoole, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2013 - June 20, 2019
MORGAN STANLEY & CO. LLC
June 14, 2007 - August 23, 2013
MUTUAL OF AMERICA SECURITIES LLC
June 14, 2007 - August 23, 2013
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
January 17, 2003 - September 14, 2005
SRT SECURITIES LLC
March 8, 2000 - October 10, 2000
RICHMARK CAPITAL CORPORATION
February 8, 1999 - February 10, 2000
WIT CAPITAL CORPORATION
March 11, 1998 - December 14, 1998
STRATEGIC ASSETS INC.
January 21, 1998 - January 22, 1998
FOSTER JEFFRIES SECURITIES, LLC
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 55
Date: 10/15/2013
Limited Representative-Equity Trader ExamCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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