Helen H. Brennan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Helen Hobson Brennan, who also goes by Helen Brennan, Helen Elizabeth Hobson Miss, Helen Elizabeth Hobson, Helen Hobson, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 2008. Helen had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2016 - June 24, 2016
MORGAN STANLEY DISTRIBUTION, INC.
August 13, 2012 - February 16, 2016
BNP PARIBAS SECURITIES CORP.
February 16, 2011 - August 30, 2011
CITADEL SECURITIES LLC
September 8, 2010 - February 15, 2011
CHAPDELAINE TULLETT PREBON, LLC
August 18, 2008 - August 24, 2010
JEFFERIES 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
Exams
Current Firm
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| CORSO, JEFFREY | DIRECTOR | 3113988 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| RANDALL, RONALD ALLAN | PRINCIPAL OPERATIONS OFFICER | 2946509 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
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.
