Brian D. Cleary
Professional summary
Brian Dennis Cleary is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Woodbury, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1972. Brian has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, SIE, Series 5, PC, Series 000, Series 1, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Dennis Cleary's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 3, 2021 - Present
VANDERBILT SECURITIES, LLC
Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797February 2, 2009 - June 9, 2021
WESTPORT CAPITAL MARKETS, LLC
July 31, 1993 - February 19, 2009
CITIGROUP GLOBAL MARKETS INC.
January 18, 1978 - November 26, 1979
LOEB PARTNERS
June 15, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
October 6, 1976 - July 10, 1977
WHITE, WELD & CO. INCORPORATED
May 1, 1972 - November 7, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
April 24, 1972 - July 31, 1993
LEHMAN BROTHERS 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
(5/4/2021)
(5/5/2021)
(6/4/2021)
(6/10/2021)
(5/31/2021)
(8/6/2021)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 6/20/1977
AMEX Put and Call ExamSeries 000
Date: 4/24/1972
General Securities Principal ExaminationSeries 1
Date: 4/24/1972
Registered Representative ExaminationSeries 12
Date: 3/27/1981
NYSE Branch Manager ExaminationFINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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