Kyle J. Finnerty

BREAN CAPITAL

Uniondale, NY 11556

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CRD#: 4981221

Professional summary

Kyle J Finnerty is a registered financial professional currently at BREAN CAPITAL, LLC located in Uniondale, New York.

Kyle is registered as a RR (Registered Representative) and started their career in finance in 2006. Kyle has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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CRS (Client Relationship Summary) - BD

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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

August 24, 2020 - Present

BREAN CAPITAL, LLC

Office #1: 625 Rxr Plaza Suite 1303 West, Uniondale, NY 11556

CRD#: 23723

Uniondale, NY

Past

April 14, 2011 - August 27, 2020

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 6, 2006 - February 18, 2009

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

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

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

Maryland
(9/16/2020)

Massachusetts
(9/16/2020)

Minnesota
(9/16/2020)

Missouri
(11/4/2025)

New Jersey
(7/9/2021)

New York
(8/24/2020)

Virginia
(9/16/2020)

Exams

State Security Law Exam

Series 63

Date: 5/6/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 7/3/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 10/5/2006

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

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

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.

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Kyle J. Finnerty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kyle J Finnerty's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/2011

SIE

Date: 10/1/2018

Series 79

Date: 7/3/2014

Series 7

Date: 10/5/2006

FINRA

Nasdaq Stock Market

Current Firm

BREAN CAPITAL, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BREAN CAPITAL, LLC

TRUST BUT VERIFY

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