AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BJ

Brendan D. January

BARON CAPITAL
NEW YORK, NY 10153
Some features on this profile are disabled
CRD#: 4889256
BJ

Professional summary

Brendan Derick January is a registered financial professional currently at BARON CAPITAL, INC. located in New York, New York.

Brendan is registered as a RR (Registered Representative) and started their career in finance in 2006. Brendan has worked at 4 firms and has passed the Series 66, 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 Brendan Derick January's CRS (Customer Relationship Summary).
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

February 20, 2026 - Present

BARON CAPITAL, INC.

Office #1: 767 Fifth Avenue 48th Floor, New York, NY 10153
BD
CRD#: 10538
NEW YORK, NY
Past

July 8, 2021 - February 2, 2026

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEW YORK, NY
Past

May 13, 2014 - November 14, 2019

LAZARD ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 129119
NEW YORK, NY
Past

October 26, 2006 - May 6, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

October 9, 2006 - May 6, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
(2/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/25/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BARON CAPITAL, INC.
BARON CAPITAL, INC. | BARON CAPITAL, INC. (NY)

CRD#: 10538 / SEC#: , 8-27533

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
767 Fifth Avenue 48th Floor, New York, NY 10153
Mailing Address
767 Fifth Avenue 48th Floor, New York, NY 10153
Phone number
(212) 583-2000
Established
New York since 03/16/1982
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BARON CAPITAL GROUP, INC.SHAREHOLDER
BARON, RONALD STEPHENDIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER13187
BALTOVSKI, ALEXANDERFINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2350828
BARON, DAVID ROBERTDIRECTOR3245808
BARON, MICHAEL R.DIRECTOR4393612
BEASLEY, LOUIS BARRETTCHIEF COMPLIANCE OFFICER3156061
GREENBERG, CLIFFORDDIRECTOR AND SENIOR VICE PRESIDENT2292041
NAGLER, ANITA MARIEDIRECTOR2503631
PATALINO, PATRICK MICHAELSVP, CHIEF OPERATING OFFICER4481185
PECK, ANDREW JOSHUADIRECTOR AND SENIOR VICE PRESIDENT5348729
ROBBINS, SUSAN JANDIRECTOR AND VICE PRESIDENT840688
TREGLIA, KRISTINE FVP, CHIEF LEGAL OFFICER6384500

Disclosures

Regulatory Event8

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

BARON CAPITAL, INC.

CRD#: 10538New York, NY 10153

TRUST BUT VERIFY

Monitor Brendan January

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
Eileen Polese
Eileen PoleseAdvisorCheck Check Mark
HIGHTOWER ADVISORS, LLC
IAR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.