Brian J. Hynes
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 James Hynes was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 4 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2011 - February 6, 2012
KAUFMAN BROS., L.P.
August 23, 2004 - May 3, 2005
NEEDHAM & COMPANY, LLC
July 3, 2003 - July 14, 2004
PRUDENTIAL EQUITY GROUP, LLC
June 29, 2001 - April 29, 2003
J.P. MORGAN SECURITIES 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
Current Firm
KAUFMAN BROS., L.P.
CRD#: 37909 / SEC#: , 8-48183
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLMK CAPITAL MANAGEMENT LLC | LIMITED PARTNER | |
| KAUFMAN, SUSAN GAIL | LIMITED PARTNER | 2620519 |
| KAUFMAN, CRAIG DOUGLAS | HEAD OF CAPITAL MARKETS AND LIMITED PARTNER | 2042355 |
| DURKIN, GERARD ANTHONY | CHIEF FINANCIAL OFFICER AND FINOP PRINCIPAL | 1292336 |
| GURROLA, KENNETH WILLIAM ESQ. | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER AND LIMITED PARTNER | 5657027 |
| KAUFMAN, ROBERT JAY | HEAD OF INVESTMENT BANKING | 2580169 |
| KB MANAGEMENT LLC | GENERAL PARTNER | |
| LORENZO, BENNY | CHAIRMAN, CEO AND DIRECTOR OF RESEARCH | 1888674 |
| ROSS, STUART BERT | LIMITED PARTNER | 2094044 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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