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
BR

Brian Rohm

Some features on this profile are disabled
CRD#: 5328680
BR
Brian Rohm

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

Brian is a previously registered financial professional and started their career in finance in 2007. Brian had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 57TO, Series 7TO, SIE, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.

Aliases

Brian S Rohm | Brian Scott Rohm

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 2, 2026 - August 4, 2026

E.F. HUTTON & CO. LLC

BD
CRD#: 322687
New York, NY
Past

May 14, 2024 - February 3, 2026

AEGIS CAPITAL CORP.

RIA
CRD#: 15007
NEW YORK, NY
Past

May 14, 2024 - February 3, 2026

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

January 4, 2024 - March 5, 2024

GUGGENHEIM INVESTOR SERVICES, LLC

BD
CRD#: 30096
NEW YORK, NY
Past

December 20, 2022 - October 16, 2023

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

December 20, 2022 - October 16, 2023

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

February 1, 2022 - December 8, 2022

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

February 1, 2022 - December 8, 2022

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

June 30, 2021 - January 27, 2022

RBC ROCHDALE, LLC

RIA
CRD#: 117198
NEW YORK, NY
Past

June 30, 2021 - January 27, 2022

CNR SECURITIES, LLC

BD
CRD#: 18466
NEW YORK, NY
Past

July 17, 2019 - July 8, 2021

A.G.P. / ALLIANCE GLOBAL PARTNERS

RIA
CRD#: 8361
NEWPORT BEACH, CA
Past

February 12, 2019 - July 8, 2021

A.G.P. / ALLIANCE GLOBAL PARTNERS

BD
CRD#: 8361
NEWPORT BEACH, CA
Past

January 17, 2008 - June 25, 2009

LPL FINANCIAL LLC

RIA
CRD#: 6413
ORANGE, CA
Past

October 8, 2007 - June 25, 2009

LPL FINANCIAL LLC

BD
CRD#: 6413
ORANGE, CA

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: 5/20/2019
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/16/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/14/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 5/21/2022
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 9/16/2019
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/22/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/22/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 6/12/2024
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/10/2020
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/8/2020
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/2020
General Securities Principal Examination

Current Firm

EH
E.F. HUTTON & CO. LLC
E.F. HUTTON & CO. LLC | WH CAPITAL LLC

CRD#: 322687 / SEC#: , 8-70957

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

Contact information

Main Address
745 Fifth Avenue 34th Floor & Ph, New York, NY 10151
Mailing Address
745 Fifth Avenue 34th Floor & Ph, New York, NY 10151
Phone number
(212) 970-3700
Established
New Mexico since 06/29/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
E.F. HUTTON HOLDINGS LLCMEMBER
CRAPPS, WILLIAM HAYWOOD JRCO-CCO4189289
ONESTO, RICHARD ERNESTFINOP/PFO/POO2453096
RALLO, JOSEPH THOMASCEO5184862
ROHM, BRIANCO-CCO5328680
SWANSTON, DUNCAN BOSWELLPRESIDENT5402343

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

E.F. HUTTON & CO. LLC

CRD#: 322687

TRUST BUT VERIFY

Monitor Brian Rohm

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.