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BG

Brian J. Goldfogel

WILLIS TOWERS WATSON SECURITIES
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 4854588
BG

Professional summary

Brian Jay Goldfogel is a registered financial professional currently at WILLIS TOWERS WATSON SECURITIES, LLC located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 5 firms and has passed the Series 63, Series 79TO, 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Jay Goldfogel'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

September 1, 2023 - Present

WILLIS TOWERS WATSON SECURITIES, LLC

Office #1: 200 Liberty Street 6th Floor, New York, NY 10281
RIA
BD
CRD#: 317602
NEW YORK, NY
Past

September 25, 2017 - December 10, 2021

GALLAGHER SECURITIES, INC

BD
CRD#: 116605
NEW YORK, NY
Past

June 3, 2011 - October 14, 2015

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

November 1, 2010 - May 24, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 16, 2007 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
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
New York
(9/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WT
WILLIS TOWERS WATSON SECURITIES, LLC
WILLIS TOWERS WATSON SECURITIES, LLC

CRD#: 317602 / SEC#: , 8-70858

New York
Registered Investment Advisory firm - SEC (4/27/2022 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
200 Liberty Street 6th Floor, New York, NY 10281
Mailing Address
200 Liberty Street 6th Floor, New York, NY 10281
Phone number
(516) 375-0126
Established
Delaware since 11/02/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
5

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WILLIS HRH, INC.MANAGING MEMBER
CONDON, ROBIN DIANECCO2908077
EARLS, KEVIN GERARDCEO1108493
GLYNN, MICHAEL GERARDFINOP, PFO, POO3219445

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

WILLIS TOWERS WATSON SECURITIES, LLC

CRD#: 317602New York, NY 10281

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