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Brendan M. Carter

GELBER SECURITIES
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 4972982
BC

Professional summary

Brendan Mcenery Carter is a registered financial professional currently at GELBER SECURITIES, LLC located in Chicago, Illinois.

Brendan is registered as a RR (Registered Representative) and started their career in finance in 2011. Brendan has worked at 2 firms and has passed the Series 57TO, SIE, Series 56 and Series 24 exams.

top-8-questions

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 Mcenery Carter'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

March 28, 2014 - Present

GELBER SECURITIES, LLC

Office #1: 350 N. Orleans 7th Floor, North Tower, Chicago, IL 60654Office #2: 350 N.orleans St S10000, Chicago, IL 60654
BD
CRD#: 18367
Chicago, IL
Past

March 14, 2011 - September 6, 2012

PEAK6 CAPITAL MANAGEMENT LLC

BD
CRD#: 43773
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 7/27/2011
Proprietary Trader Qualification Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/28/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GELBER SECURITIES, LLC
GELBER SECURITIES INC. | GELBER SECURITIES, LLC

CRD#: 18367 / SEC#: , 8-36696

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
350 N.orleans St S10000, Chicago, IL 60654
Mailing Address
350 North Orleans St S10000, Chicago, IL 60654
Phone number
(312) 408-4354
Established
Delaware since 12/31/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GELBER GROUP, LLCDELAWARE LIMITED LIABILITY CORPORATION/MANAGING MEMBER
COFFEY, PATRICK JOSEPHCHIEF OPERATING OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL/PRINCIPAL OPERATIONS OFFICER7262848
DUNSKY, LISA ANNCHIEF LEGAL OFFICER
GELBER, BRIAN ROGERCHIEF EXECUTIVE OFFICER839297
HAZE, DANIEL MCHIEF COMPLIANCE OFFICER7393008
HILBURGER, JAMES ROBERTCHIEF FINANCIAL OFFICER/ PRINCIPAL FINANCIAL OFFICER4570079
LONTEEN, CHRISTIAN MATTHEWMANAGING DIRECTOR OF TRADING5793881
MAHLER, MATTHEW CARLPRESIDENT/PRINCIPAL OPTIONS OFFICER4987267

Disclosures

Regulatory Event9

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

GELBER SECURITIES, LLC

CRD#: 18367Chicago, IL 60654

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