WH
Warren M. Harding
BREAN CAPITAL
VIRGINIA BEACH, VA 23451
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CRD#: 4906531
WH
Professional summary
Warren Matthew Harding, who also goes by Matthew Harding, W. Matthew Harding, is a registered financial professional currently at BREAN CAPITAL, LLC located in Virginia Beach, Virginia.
Warren is registered as a RR (Registered Representative) and started their career in finance in 2005. Warren has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Matthew Harding | W. Matthew Harding
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 Warren Matthew Harding'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
September 12, 2012 - Present
BREAN CAPITAL, LLC
Office #1: 3704 Pacific Avenue Suite 205, Virginia Beach, VA 23451BD
CRD#: 23723
VIRGINIA BEACH, VA
Past
April 25, 2011 - August 9, 2012
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
May 22, 2007 - October 30, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
BD
CRD#: 19794
NEW YORK, NY
Past
February 16, 2005 - May 3, 2011
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
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(1/15/2020)
RR
California(9/12/2012)
RR
Colorado(7/8/2014)
RR
Connecticut(9/12/2012)
RR
Delaware(9/12/2012)
RR
District of Columbia(9/12/2012)
RR
Florida(9/12/2012)
RR
Georgia(3/4/2015)
RR
Illinois(9/12/2012)
RR
Maryland(9/12/2012)
RR
Massachusetts(9/12/2012)
RR
Michigan(5/14/2020)
RR
Minnesota(9/12/2012)
RR
Missouri(11/4/2025)
RR
Nevada(7/9/2024)
RR
New Jersey(9/12/2012)
RR
New York(9/12/2012)
RR
North Carolina(9/12/2012)
RR
Ohio(9/12/2012)
RR
Pennsylvania(9/12/2012)
RR
Rhode Island(7/8/2014)
RR
Tennessee(9/12/2012)
RR
Texas(9/12/2012)
RR
Utah(12/5/2023)
RR
Vermont(9/12/2012)
RR
Virginia(9/12/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BREAN CAPITAL, LLC
CRD#: 23723Virginia Beach, VA 23451TRUST BUT VERIFY
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