Brendan D. Mcdonough
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brendan Donnelley Mcdonough, who also goes by Brendan D Mcdonough, Brendan Mcdonough, was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2004. Brendan had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2017 - November 14, 2018
FIDELITY DISTRIBUTORS COMPANY LLC
September 4, 2015 - March 24, 2017
STRATEGIC ADVISERS LLC
August 27, 2015 - March 23, 2017
FIDELITY BROKERAGE SERVICES LLC
November 13, 2014 - July 22, 2015
VIRTUS INVESTMENT ADVISERS, LLC
November 12, 2014 - July 22, 2015
VP DISTRIBUTORS LLC
November 1, 2013 - October 22, 2014
UBS FINANCIAL SERVICES INC.
September 17, 2007 - October 21, 2013
NATIXIS DISTRIBUTION, LLC
September 20, 2005 - April 19, 2006
MORGAN STANLEY DW INC.
August 16, 2005 - April 19, 2006
MORGAN STANLEY DW INC.
October 8, 2004 - January 12, 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
Exams
Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
