James A. Cognetti
Professional summary
James A Cognetti, who also goes by James A. Cognetti, is a registered financial professional currently at BREAN CAPITAL, LLC located in Franklin, Tennessee.
James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James A Cognetti's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2013 - Present
BREAN CAPITAL, LLC
Office #1: 5000 Meridian Boulevard Suite 160, Franklin, TN 37067November 2, 2009 - August 5, 2013
CRT CAPITAL GROUP LLC
July 31, 2009 - October 28, 2009
JVB FINANCIAL GROUP, LLC
February 27, 2008 - June 30, 2009
MAXIM GROUP LLC
February 18, 2005 - February 19, 2008
WAMU CAPITAL CORP.
August 20, 2004 - January 13, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 2004 - January 13, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/7/2025)
(8/23/2013)
(4/7/2015)
(8/23/2013)
(8/23/2013)
(7/8/2014)
(11/8/2019)
(9/2/2021)
(7/8/2014)
(10/7/2021)
(2/24/2020)
(12/23/2020)
(5/19/2025)
(8/23/2013)
(8/19/2013)
(1/26/2022)
(8/23/2013)
(6/4/2021)
(8/23/2013)
(6/15/2020)
(3/8/2018)
(7/29/2019)
(8/13/2021)
Exams
FINRA
Nasdaq Stock Market
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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