Brian Cahill
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 Cahill, who also goes by Brian J. Cahill, Brian James Cahill, Brian Cahill, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2020 - March 18, 2021
MUNTZ FINANCIAL, LLC
September 26, 2019 - February 4, 2020
CHARLES SCHWAB & CO., INC.
September 26, 2019 - February 4, 2020
CHARLES SCHWAB & CO., INC.
October 13, 2017 - January 2, 2018
PRINCIPAL SECURITIES, INC.
October 12, 2017 - January 2, 2018
PRINCIPAL SECURITIES, INC.
December 17, 2015 - November 25, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 2015 - November 25, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2014 - July 8, 2015
ESSEX NATIONAL SECURITIES, LLC
December 4, 2014 - July 8, 2015
ESSEX NATIONAL SECURITIES, LLC
April 10, 2014 - August 26, 2014
CETERA ADVISORS LLC
June 13, 2013 - February 26, 2014
VANGUARD MARKETING CORPORATION
October 1, 2012 - April 30, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 30, 2013
J.P. MORGAN SECURITIES LLC
August 16, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 24, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 6, 2011 - April 12, 2012
EQUITABLE ADVISORS, LLC
March 23, 2009 - October 27, 2009
CHASE INVESTMENT SERVICES CORP.
November 6, 2008 - March 26, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
February 25, 2008 - April 17, 2008
G-2 TRADING,LLC
July 15, 2005 - September 11, 2007
PRINCIPAL SECURITIES, INC.
September 4, 2001 - July 30, 2003
UPHOLD SECURITIES INC.
April 17, 2001 - August 15, 2001
G&L PARTNERS, LLC
November 23, 1998 - April 11, 2001
ABN AMRO SECURITIES LLC
Primary Firm SEC Registration
MUNTZ FINANCIAL, LLC
CRD#: 145971 / SEC#: 801-131242
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 7A
Date: 7/31/2002
Floor Broker Representative ExamSeries 25
Date: 9/23/1999
NYSE Trading Assistant ExaminationCurrent Firm
MUNTZ FINANCIAL, LLC
CRD#: 145971 / SEC#: 801-131242
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 229 |
| AUM (Assets Under Management) | $ 153,190,676 |
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.
