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BP

Brian Park

ELEQUIN SECURITIES LLC
New York, NY 10018
Some features on this profile are disabled
CRD#: 3100889
BP

Professional summary

Brian Park is a registered financial professional currently at ELEQUIN SECURITIES LLC located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Park's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 3, 2022 - Present

ELEQUIN SECURITIES LLC

Office #1: 1333 Broadway Suite 500, New York, NY 10018Office #2: 700 Canal Street 1st Floor, Stamford, CT 06902
BD
CRD#: 311650
New York, NY
Past

January 6, 2020 - December 2, 2020

STONEX FINANCIAL INC.

BD
CRD#: 45993
Stamford, CT
Past

July 1, 2003 - October 22, 2019

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

June 1, 2000 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 24, 1999 - June 1, 2000

FORUM CAPITAL MARKETS LLC

BD
CRD#: 30867
OLD GREENWICH, CT
Past

December 14, 1998 - September 21, 1999

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/15/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 2/10/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 12/9/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/2022
General Securities Principal Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

ES
ELEQUIN SECURITIES LLC
ELEQUIN SECURITIES LLC

CRD#: 311650 / SEC#: , 8-70654

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1333 Broadway Suite 500, New York, NY 10018
Mailing Address
1333 Broadway Suite 500, New York, NY 10018
Phone number
(929) 346-7126
Established
Delaware since 04/07/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ELEQUIN HOLDINGS LLCPARENT COMPANY
CROTTY, CHRISTOPHER CHARLESCHIEF COMPLIANCE OFFICER2488082
FINLAYSON, JAMES DREWPRESIDENT, FINOP, COO3096527
GUTIERREZ, PETER GERMANCHIEF EXECUTIVE OFFICER2933355

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.

Company Information

ELEQUIN SECURITIES LLC

CRD#: 311650New York, NY 10018

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