Brian Kealey

HAMILTON LANE SECURITIES LLC

Conshohocken, PA 19428

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CRD#: 5710301

Professional summary

Brian Kealey is a registered financial professional currently at HAMILTON LANE SECURITIES LLC located in Conshohocken, Pennsylvania.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2009. Brian has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Brian Kealey'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

December 6, 2022 - Present

HAMILTON LANE SECURITIES LLC

Office #1: 110 Washington Street Suite 1300, Conshohocken, PA 19428

CRD#: 281510

Conshohocken, PA

Past

April 22, 2021 - December 12, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

April 22, 2021 - December 12, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 9, 2009 - March 13, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HINGHAM, MA

Past

November 16, 2009 - March 13, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HINGHAM, MA

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

Alabama
(1/4/2023)

Alaska
(12/6/2022)

Arizona
(12/6/2022)

Arkansas
(12/6/2022)

California
(12/6/2022)

Colorado
(12/6/2022)

Connecticut
(12/6/2022)

Delaware
(12/6/2022)

District of Columbia
(12/6/2022)

Florida
(12/6/2022)

Georgia
(12/6/2022)

Hawaii
(12/6/2022)

Idaho
(12/6/2022)

Illinois
(12/6/2022)

Indiana
(12/6/2022)

Iowa
(12/6/2022)

Kansas
(12/6/2022)

Kentucky
(12/6/2022)

Louisiana
(12/6/2022)

Maine
(12/6/2022)

Maryland
(12/6/2022)

Massachusetts
(12/6/2022)

Michigan
(12/6/2022)

Minnesota
(12/6/2022)

Mississippi
(12/6/2022)

Missouri
(12/6/2022)

Montana
(12/6/2022)

Nebraska
(12/6/2022)

Nevada
(12/6/2022)

New Hampshire
(12/6/2022)

New Jersey
(12/6/2022)

New Mexico
(12/6/2022)

New York
(12/6/2022)

North Carolina
(12/6/2022)

North Dakota
(12/6/2022)

Ohio
(12/6/2022)

Oklahoma
(12/6/2022)

Oregon
(12/6/2022)

Pennsylvania
(12/6/2022)

Rhode Island
(12/6/2022)

South Carolina
(12/6/2022)

South Dakota
(12/6/2022)

Tennessee
(12/6/2022)

Texas
(12/6/2022)

Utah
(12/6/2022)

Vermont
(12/6/2022)

Virginia
(12/6/2022)

Washington
(12/6/2022)

West Virginia
(12/6/2022)

Wisconsin
(12/6/2022)

Wyoming
(12/6/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/3/2009

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: 11/13/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HAMILTON LANE SECURITIES LLC

CRD#: 281510 / SEC#: , 8-69675

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

110 Washington Street Suite 1300, Conshohocken, PA 19428

Mailing Address

110 Washington Street Suite 1300, Conshohocken, PA 19428

Phone number

(610) 934-2222

Established

Delaware since 08/17/2015

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HAMILTON LANE	MEMBER	107876
BRENNAN, STEPHEN RICHARD JR	CHIEF EXECUTIVE OFFICER	2488932
ROMERO, MONIQUE VICTORIA	FINOP	6712654
SHIN, ROBERT	CHIEF COMPLIANCE OFFICER	2683514

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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Brian Kealey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Kealey's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMILTON LANE SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2009

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2009

FINRA

Current Firm

HAMILTON LANE SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HAMILTON LANE SECURITIES LLC

TRUST BUT VERIFY

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