AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BO

Brian S. Okeefe

Some features on this profile are disabled
CRD#: 5328366
BO

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.

Brian Scott Okeefe, who also goes by Okeefe S. Obrian, Brian S. Okeefe, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2007. Brian had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Okeefe S. Obrian | Brian S. Okeefe

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 11, 2011 - April 3, 2013

PHARUS SECURITIES, LLC

BD
CRD#: 148002
SAN FRANCISCO, CA
Past

March 11, 2010 - January 13, 2011

MATRIX CAPITAL GROUP, INC.

BD
CRD#: 33364
SAN FRANCISCO, CA
Past

February 17, 2010 - March 23, 2010

H. ROARK & ASSOCIATES, INC.

BD
CRD#: 112898
RENO, NV
Past

June 16, 2009 - January 15, 2010

WAVELAND CAPITAL PARTNERS LLC

BD
CRD#: 40054
SAN FRANCISCO, CA
Past

May 17, 2007 - May 21, 2009

ADVANCED EQUITIES, INC.

RIA
CRD#: 35545
CHICAGO, IL
Past

May 14, 2007 - May 16, 2007

ADVANCED EQUITIES, INC.

RIA
CRD#: 35545
CHICAGO, IL
Past

May 3, 2007 - May 21, 2009

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/11/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2007
General Securities Representative Examination

Current Firm

PS
PHARUS SECURITIES, LLC
PHARUS SECURITIES, LLC

CRD#: 148002 / SEC#: , 8-67948

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
535 Fifth Avenue 25th Floor, New York, NY 10017
Mailing Address
535 Fifth Avenue 25th Floor, New York, NY 10017
Phone number
(212) 904-0100
Established
Delaware since 11/28/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PHARUS ADVISORS HOLDINGS, LLCMANAGING MEMBER
GOODMAN, MICHAEL EDWARDMANAGING DIRECTOR5582359
HARRELL, KENNETH MACYMANAGING PARTNER / CCO5576859
KIRSCHENBLATT, CHAD ETHANFINOP2503352

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.

Company Information

PHARUS SECURITIES, LLC

CRD#: 148002

TRUST BUT VERIFY

Monitor Brian Okeefe

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.