DB
Daniel T. Bauer
BREAN CAPITAL
Memphis, TN 38120
Some features on this profile are disabled
CRD#: 4831968
DB
Professional summary
Daniel Thomas Bauer, who also goes by Daniel Thomas Bauer, is a registered financial professional currently at BREAN CAPITAL, LLC located in Memphis, Tennessee.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2004. Daniel has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel Thomas Bauer
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Thomas Bauer'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®
NoneExperience
Current
February 22, 2023 - Present
BREAN CAPITAL, LLC
Office #1: Renaissance Center, Ste 400 1715 Aaron Brenner Drive, Memphis, TN 38120BD
CRD#: 23723
Memphis, TN
Past
May 30, 2008 - February 14, 2023
TRUIST SECURITIES, INC.
BD
CRD#: 6271
MEMPHIS, TN
Past
November 18, 2004 - May 12, 2008
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
MEMPHIS, TN
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
Alabama(2/22/2023)
RR
Alaska(2/22/2023)
RR
Arizona(2/22/2023)
RR
Arkansas(2/22/2023)
RR
California(2/22/2023)
RR
Colorado(2/22/2023)
RR
Connecticut(2/22/2023)
RR
Delaware(2/22/2023)
RR
District of Columbia(2/22/2023)
RR
Florida(2/22/2023)
RR
Georgia(2/22/2023)
RR
Hawaii(2/22/2023)
RR
Idaho(2/22/2023)
RR
Illinois(2/22/2023)
RR
Indiana(2/22/2023)
RR
Iowa(2/22/2023)
RR
Kansas(2/22/2023)
RR
Kentucky(2/22/2023)
RR
Louisiana(2/22/2023)
RR
Maine(2/22/2023)
RR
Maryland(2/22/2023)
RR
Massachusetts(2/22/2023)
RR
Michigan(2/22/2023)
RR
Minnesota(2/22/2023)
RR
Mississippi(2/22/2023)
RR
Missouri(2/22/2023)
RR
Montana(2/22/2023)
RR
Nebraska(2/22/2023)
RR
Nevada(2/22/2023)
RR
New Hampshire(2/22/2023)
RR
New Jersey(2/22/2023)
RR
New Mexico(2/22/2023)
RR
New York(2/22/2023)
RR
North Carolina(2/22/2023)
RR
North Dakota(2/22/2023)
RR
Ohio(2/22/2023)
RR
Oklahoma(2/22/2023)
RR
Oregon(2/22/2023)
RR
Pennsylvania(2/22/2023)
RR
Puerto Rico(2/22/2023)
RR
Rhode Island(2/22/2023)
RR
South Carolina(2/22/2023)
RR
South Dakota(2/22/2023)
RR
Tennessee(2/22/2023)
RR
Texas(2/22/2023)
RR
Utah(2/22/2023)
RR
Vermont(2/22/2023)
RR
Virginia(2/22/2023)
RR
Washington(2/22/2023)
RR
West Virginia(2/22/2023)
RR
Wisconsin(2/22/2023)
RR
Wyoming(2/22/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BC
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
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 | 12 |
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
BREAN CAPITAL, LLC
CRD#: 23723Memphis, TN 38120TRUST BUT VERIFY
Monitor Daniel Bauer
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
