Brian T. Escobedo
Professional summary
Brian T Escobedo, who also goes by Brian Escobedo, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2006. Brian has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian T Escobedo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2025 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286December 18, 2014 - February 4, 2025
HIGHLAND CAPITAL MANAGEMENT, LLC
February 11, 2014 - July 17, 2014
CAPITAL GUARDIAN, LLC
June 28, 2010 - January 28, 2014
SUSQUEHANNA FINANCIAL GROUP, LLLP
November 4, 2009 - June 15, 2010
PERSHING LLC
June 1, 2009 - October 20, 2009
MORGAN STANLEY
October 12, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 8, 2006 - September 24, 2007
FHN FINANCIAL SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/21/2025)
Exams
Series 7TO
Date: 3/10/2025
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
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.
