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BE

Bryan J. Earley

ARETE RESEARCH LLC
Dallas, TX 75208
Some features on this profile are disabled
CRD#: 4235261
BE

Professional summary

Bryan James Earley is a registered financial professional currently at ARETE RESEARCH LLC located in Dallas, Texas.

Bryan is registered as a RR (Registered Representative) and started their career in finance in 2001. Bryan has worked at 6 firms and has passed the Series 63, SIE and Series 7 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 Bryan James Earley'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

March 1, 2021 - Present

ARETE RESEARCH LLC

Office #1: 1309 Walmsley Ave, Dallas, TX 75208
BD
CRD#: 128496
Dallas, TX
Past

April 9, 2008 - February 23, 2021

UPHOLD SECURITIES INC.

BD
CRD#: 34071
NEW YORK, NY
Past

March 19, 2007 - December 10, 2007

LEERINK PARTNERS LLC

BD
CRD#: 39011
NEW YORK, NY
Past

April 1, 2002 - October 23, 2002

KELLOGG CAPITAL MARKETS, LLC

BD
CRD#: 118790
NEW YORK, NY
Past

May 23, 2001 - April 2, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

March 22, 2001 - April 1, 2002

KELLOGG CAPITAL GROUP LLC

BD
CRD#: 35032
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/1/2021)
RR
Connecticut
(3/30/2023)
RR
Florida
(3/1/2021)
RR
Illinois
(3/1/2021)
RR
Massachusetts
(3/1/2021)
RR
New Jersey
(3/1/2021)
RR
New York
(3/1/2021)
RR
Oregon
(3/1/2021)
RR
Texas
(3/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AR
ARETE RESEARCH LLC
ARETE RESEARCH LLC

CRD#: 128496 / SEC#: , 8-66145

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

Main Address
1309 Walmsley Ave, Dallas, TX 75208
Mailing Address
1309 Walmsley Ave, Dallas, TX 75208
Phone number
(617) 357-4801
Established
Delaware since 06/20/2003
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ARETE RESEARCH LLPOWNER
HASSAY, LAURIE ANNFINOP5676461
MERRILL, FRANCIS ROBERT IVHEAD OF US EQUITY SALES, CCO4734216

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

ARETE RESEARCH LLC

CRD#: 128496Dallas, TX 75208

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