Brett Tremain

ANCORIS SECURITIES LLC

New York, NY 10022

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CRD#: 5187883

Professional summary

Brett Tremain, who also goes by Brett A Tremain, Brett Tremain, is a registered financial professional currently at ANCORIS SECURITIES LLC located in New York, New York.

Brett is registered as a RR (Registered Representative) and started their career in finance in 2008. Brett has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brett A Tremain | Brett Tremain

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 Brett Tremain'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 11, 2021 - Present

ANCORIS SECURITIES LLC

Office #1: 515 Madison Avenue 22nd Floor, New York, NY, 10022

CRD#: 305279

New York, NY

Past

June 26, 2019 - January 13, 2022

TANGENT CAPITAL PARTNERS, LLC

CRD#: 146999

SHORT HILLS, NJ

Past

January 18, 2019 - December 19, 2019

WEILD & CO.

CRD#: 132398

New York, NY

Past

June 14, 2018 - October 12, 2018

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

NEW YORK, NY

Past

October 14, 2008 - October 28, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

September 17, 2008 - October 28, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

California
(4/7/2022)

Connecticut
(8/23/2022)

Florida
(11/16/2022)

Illinois
(1/4/2023)

Massachusetts
(11/16/2022)

Michigan
(10/20/2022)

New Jersey
(4/18/2022)

New York
(1/8/2022)

Pennsylvania
(4/11/2022)

Texas
(8/25/2022)

Exams

State Security Law Exam

Series 63

Date: 7/23/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/13/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/2018

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 6/14/2018

Investment Banking Registered Representative Examination

SRO Registrations

FINRA

Current Firm

ANCORIS SECURITIES LLC

ANCORIS SECURITIES LLC | UPPERDECK SECURITIES LLC

CRD#: 305279 / SEC#: , 8-70753

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

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Contact information

Main Address

515 Madison Avenue 22nd Floor, New York, NY, 10022

Mailing Address

515 Madison Avenue 22nd Floor, New York, NY, 10022

Phone number

(212) 601-2813

Established

New York since 06/14/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ANCORIS CAPITAL PARTNERS LLC	SOLE OWNER
PLOTYCIA, STEVEN WILLIAM	FINOP	5293014
SMITH, HEATHER	CEO,CCO	2811843

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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Advisor Monitoring

Firm Stability Insights

Brett Tremain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Tremain's CRS (Customer Relationship Summary).

Certified licenses

Experience

TANGENT CAPITAL PARTNERS, LLC

WEILD & CO.

HOULIHAN LOKEY CAPITAL, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/23/2018

Series 66

Date: 10/13/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2018

Series 79

Date: 6/14/2018

FINRA

Current Firm

ANCORIS SECURITIES LLC

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ANCORIS SECURITIES LLC

TRUST BUT VERIFY

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