Matthew J. 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.
Matthew John Brennan, who also goes by Matthew Brennan, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2006. Matthew had worked at 9 firms and has passed the Series 66, Series 7TO, Series 52TO, SIE, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2017 - September 3, 2020
HARRISDIRECT LLC
July 6, 2017 - September 3, 2020
E*TRADE SECURITIES LLC
April 3, 2014 - July 5, 2017
MML INVESTORS SERVICES, LLC
March 27, 2014 - July 5, 2017
MML INVESTORS SERVICES, LLC
October 2, 2013 - March 27, 2014
PARK AVENUE SECURITIES LLC
July 18, 2012 - March 27, 2014
PARK AVENUE SECURITIES LLC
January 7, 2011 - July 18, 2012
WALNUT STREET SECURITIES, INC.
January 7, 2011 - July 18, 2012
TOWER SQUARE SECURITIES, INC.
January 7, 2011 - July 18, 2012
NEW ENGLAND SECURITIES
January 6, 2011 - July 18, 2012
MSI FINANCIAL SERVICES, INC.
October 6, 2006 - December 20, 2010
PRUCO SECURITIES, 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
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationSeries 52TO
Date: 3/26/2024
Municipal Securities Representative ExaminationCurrent Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
