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AB

Andrew J. Breiner

OCTAURA SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 5001268
AB

Professional summary

Andrew James Breiner is a registered financial professional currently at OCTAURA SECURITIES located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2005. Andrew has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 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 Andrew James Breiner'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

November 10, 2023 - Present

OCTAURA SECURITIES

Office #1: 5 Pennsylvania Plaza 6 Floor South, New York, NY 10001
BD
CRD#: 321877
New York, NY
Past

August 29, 2005 - May 24, 2023

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
BOSTON, MA

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
(11/10/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 11/10/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/27/2016
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/28/2016
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OCTAURA SECURITIES
OCTAURA SECURITIES | OCTAURA SECURITIES TRADINGCO LLC

CRD#: 321877 / SEC#: , 8-70933

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

Main Address
5 Pennsylvania Plaza 6 Floor South, New York, NY 10001
Mailing Address
5 Pennsylvania Plaza 6 Floor South, New York, NY 10001
Phone number
(212) 397-6133
Established
Delaware since 04/25/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OCTAURA HOLDINGS LLCSOLE MEMBER
BEJILE, BRIAN [NMM]CHIEF EXECUTIVE OFFICER4829191
COHEN, JASON TODDCOO/ CFO AND FINOP4270310
LODATO, JOSEPH WILLIAMCHIEF COMPLIANCE OFFICER1931988

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

OCTAURA SECURITIES

CRD#: 321877New York, NY 10001

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