Kevin Brennan

BREAN CAPITAL

Uniondale, NY 11556

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CRD#: 4549283

Professional summary

Kevin Brennan is a registered financial professional currently at BREAN CAPITAL, LLC located in Uniondale, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2003. Kevin has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Kevin Brennan'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

December 5, 2023 - Present

BREAN CAPITAL, LLC

Office #1: 625 Rxr Plaza Suite 1303 West, Uniondale, NY 11556

CRD#: 23723

Uniondale, NY

Past

February 8, 2021 - May 10, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GREENWICH, CT

Past

December 6, 2017 - May 10, 2023

UBS SECURITIES LLC

CRD#: 7654

GREENWICH, CT

Past

May 22, 2017 - December 8, 2017

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CHARLOTTE, NC

Past

February 11, 2016 - May 12, 2017

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CHARLOTTE, NC

Past

June 5, 2015 - January 29, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

CHARLOTTE, NC

Past

September 19, 2011 - June 5, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

CHARLOTTE, NC

Past

January 3, 2011 - August 19, 2011

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

GREENWICH, CT

Past

February 22, 2010 - March 1, 2010

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

February 9, 2010 - January 3, 2011

KNIGHT LIBERTAS LLC

CRD#: 124790

NEW YORK, NY

Past

June 1, 2009 - March 1, 2010

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

February 17, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 4, 2006 - January 2, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

November 22, 2004 - January 2, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 5, 2003 - September 29, 2004

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(12/5/2023)

Colorado
(7/10/2025)

Connecticut
(3/28/2024)

District of Columbia
(3/6/2024)

Florida
(5/24/2024)

Illinois
(5/24/2024)

Indiana
(3/31/2025)

Maryland
(12/6/2023)

Massachusetts
(3/28/2024)

Montana
(8/8/2024)

Nebraska
(3/31/2025)

New York
(12/5/2023)

Texas
(5/24/2024)

Virginia
(10/30/2024)

Wisconsin
(5/16/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/26/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/11/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/16/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/4/2003

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

BREAN CAPITAL, LLC

BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.

CRD#: 23723 / SEC#: , 8-40742

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

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Contact information

Main Address

505 Fifth Avenue 5th Floor, New York, NY 10017

Mailing Address

505 Fifth Avenue 5th Floor, New York, NY 10017

Phone number

(212) 702-6500

Established

Delaware since 02/03/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

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

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.

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Advisor Monitoring

Firm Stability Insights

Kevin Brennan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Brennan's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

ROBERT W. BAIRD & CO. INCORPORATED

FIFTH THIRD SECURITIES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STERNE, AGEE & LEACH, INC.

KNIGHT CAPITAL AMERICAS, L.P.

MORGAN STANLEY

KNIGHT LIBERTAS LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHAPDELAINE TULLETT PREBON, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/26/2009

Series 63

Date: 2/11/2005

SIE

Date: 10/1/2018

Series 3

Date: 2/16/2007

Series 7

Date: 9/4/2003

FINRA

Nasdaq Stock Market

Current Firm

BREAN CAPITAL, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BREAN CAPITAL, LLC

TRUST BUT VERIFY

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