BT
Brian J. Trotta
BREAN CAPITAL
New York, NY 10017
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CRD#: 4845665
BT
Professional summary
Brian Joseph Trotta is a registered financial professional currently at BREAN CAPITAL, LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Brian Joseph Trotta'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
October 16, 2019 - Present
BREAN CAPITAL, LLC
Office #1: 505 Fifth Avenue 5th Floor, New York, NY 10017BD
CRD#: 23723
New York, NY
Past
May 9, 2012 - October 10, 2019
STORMHARBOUR SECURITIES LP
BD
CRD#: 35997
NEW YORK, NY
Past
September 11, 2009 - February 24, 2012
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
Past
September 29, 2008 - January 6, 2010
PREBON FINANCIAL PRODUCTS INC.
BD
CRD#: 29551
JERSEY CITY, NJ
Past
April 17, 2007 - April 9, 2008
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
October 1, 2004 - April 13, 2007
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
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(3/3/2025)
RR
California(10/16/2019)
RR
Colorado(10/16/2019)
RR
Connecticut(10/16/2019)
RR
District of Columbia(4/13/2020)
RR
Florida(10/16/2019)
RR
Georgia(3/26/2020)
RR
Illinois(10/16/2019)
RR
Indiana(7/9/2021)
RR
Kansas(11/18/2019)
RR
Kentucky(3/4/2024)
RR
Maryland(3/25/2020)
RR
Massachusetts(10/16/2019)
RR
Michigan(9/17/2025)
RR
Minnesota(10/16/2019)
RR
New Hampshire(9/16/2021)
RR
New Jersey(10/16/2019)
RR
New Mexico(3/21/2024)
RR
New York(10/16/2019)
RR
North Carolina(10/16/2019)
RR
Ohio(10/16/2019)
RR
Oklahoma(3/21/2024)
RR
Oregon(12/12/2019)
RR
Pennsylvania(10/16/2019)
RR
South Dakota(3/21/2024)
RR
Tennessee(12/9/2020)
RR
Texas(10/16/2019)
RR
Utah(5/7/2020)
RR
Vermont(10/16/2019)
RR
Virginia(4/13/2020)
RR
Washington(9/16/2020)
RR
Wisconsin(7/22/2020)
RR
Wyoming(3/21/2024)
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)
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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 | 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.
