Brendan T. Cavanaugh
Professional summary
Brendan Thomas Cavanaugh, who also goes by Brendan Thomas Cavanaugh, Brendan Cavanaugh, is a registered financial professional currently at NASDAQ CAPITAL MARKETS ADVISORY LLC located in New York, New York.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 2007. Brendan has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brendan Thomas Cavanaugh's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2025 - Present
NASDAQ CAPITAL MARKETS ADVISORY LLC
Office #1: 151 West 42nd Street, New York, NY 10036January 26, 2021 - November 15, 2024
ALLIANZ LIFE FINANCIAL SERVICES, LLC
August 29, 2017 - October 15, 2019
PROFUNDS DISTRIBUTORS, INC.
October 2, 2014 - July 25, 2017
FORESIDE FUND SERVICES, LLC
August 29, 2007 - September 26, 2014
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/11/2025)
Exams
FINRA
Current Firm
NASDAQ CAPITAL MARKETS ADVISORY LLC
CRD#: 104295 / SEC#: , 8-52750
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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