TB
Thomas Brennan
BROWN BROTHERS HARRIMAN INVESTMENTS
New York, NY 10005
Some features on this profile are disabled
CRD#: 4946175
TB
Professional summary
Thomas Brennan, who also goes by Thomas Joseph Berran, Thomas Joseph Brennan, is a registered financial professional currently at BROWN BROTHERS HARRIMAN INVESTMENTS, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2010. Thomas has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Joseph Berran | Thomas Joseph Brennan
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 Thomas Brennan'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
March 18, 2022 - Present
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
Office #1: 140 Broadway, New York, NY 10005BD
CRD#: 282732
New York, NY
Past
February 9, 2011 - May 5, 2020
WILLIAM BLAIR
RIA
CRD#: 1252
CHICAGO, IL
Past
December 13, 2010 - May 5, 2020
WILLIAM BLAIR
BD
CRD#: 1252
CHICAGO, IL
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(3/18/2022)
RR
Alaska(3/18/2022)
RR
Arizona(3/18/2022)
RR
Arkansas(3/18/2022)
RR
California(3/18/2022)
RR
Colorado(3/18/2022)
RR
Connecticut(3/18/2022)
RR
Delaware(3/18/2022)
RR
District of Columbia(3/18/2022)
RR
Florida(3/18/2022)
RR
Georgia(3/18/2022)
RR
Hawaii(3/18/2022)
RR
Idaho(3/18/2022)
RR
Illinois(3/18/2022)
RR
Indiana(3/18/2022)
RR
Iowa(3/18/2022)
RR
Kansas(3/18/2022)
RR
Kentucky(3/18/2022)
RR
Louisiana(3/21/2022)
RR
Maine(3/18/2022)
RR
Maryland(3/18/2022)
RR
Massachusetts(3/18/2022)
RR
Michigan(3/18/2022)
RR
Minnesota(3/18/2022)
RR
Mississippi(3/18/2022)
RR
Missouri(3/18/2022)
RR
Montana(3/18/2022)
RR
Nebraska(3/18/2022)
RR
Nevada(3/18/2022)
RR
New Hampshire(3/18/2022)
RR
New Jersey(3/18/2022)
RR
New Mexico(3/18/2022)
RR
New York(3/18/2022)
RR
North Carolina(3/18/2022)
RR
North Dakota(3/18/2022)
RR
Ohio(3/18/2022)
RR
Oklahoma(3/18/2022)
RR
Oregon(3/18/2022)
RR
Pennsylvania(3/18/2022)
RR
Puerto Rico(3/18/2022)
RR
Rhode Island(3/18/2022)
RR
South Carolina(3/18/2022)
RR
South Dakota(3/18/2022)
RR
Tennessee(3/18/2022)
RR
Texas(3/18/2022)
RR
Utah(3/18/2022)
RR
Vermont(3/18/2022)
RR
Virgin Islands(3/18/2022)
RR
Virginia(3/18/2022)
RR
Washington(3/18/2022)
RR
West Virginia(3/18/2022)
RR
Wisconsin(3/18/2022)
RR
Wyoming(3/18/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BB
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
CRD#: 282732 / SEC#: , 8-69731
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
140 Broadway, New York, NY 10005-1108
Mailing Address
140 Broadway, New York, NY 10005-1108
Phone number
(212) 483-1818
Established
Delaware since 11/09/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN BROTHERS HARRIMAN & CO. | SOLE MEMBER | |
| GREIFENKAMP, DANIEL JOSEPH | CEO, CHAIRMAN OF THE BOARD | 2180478 |
| HUTSON, JOSHUA EYARE | CCO | 2912952 |
| KRUCZEK, ROBERT PATRICK | DIRECTOR | 2389311 |
| MESKIN, JEFFREY BRYAN | DIRECTOR | 2855280 |
| PUSTORINO, PAUL JAMES | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 5059093 |
| SCHOENFELD, JEFFREY ALAN | DIRECTOR | 2490214 |
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.
