BC
Brendan M. Collins
ROOSEVELT & CROSS
New York, NY 10006
Some features on this profile are disabled
CRD#: 5901258
BC
Professional summary
Brendan Michael Collins is a registered financial professional currently at ROOSEVELT & CROSS, INCORPORATED located in New York, New York.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 2011. Brendan has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Brendan Michael Collins'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®
NoneExperience
Current
June 7, 2017 - Present
ROOSEVELT & CROSS, INCORPORATED
Office #1: One Exchange Plaza 55 Broadway 22nd Fl, New York, NY, 10006BD
CRD#: 6964
New York, NY
Past
March 6, 2014 - June 7, 2017
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
NEW YORK CITY, NY
Past
July 15, 2011 - March 12, 2014
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(11/1/2023)
RR
Alaska(11/1/2023)
RR
Arizona(11/1/2023)
RR
Arkansas(11/1/2023)
RR
California(8/16/2019)
RR
Colorado(8/14/2020)
RR
Connecticut(12/12/2019)
RR
Delaware(9/21/2017)
RR
District of Columbia(11/1/2023)
RR
Florida(3/7/2019)
RR
Georgia(11/1/2023)
RR
Hawaii(11/1/2023)
RR
Idaho(11/1/2023)
RR
Illinois(1/9/2020)
RR
Indiana(11/1/2023)
RR
Iowa(11/1/2023)
RR
Kansas(3/22/2019)
RR
Kentucky(5/20/2022)
RR
Louisiana(11/1/2023)
RR
Maine(11/1/2023)
RR
Maryland(11/1/2023)
RR
Massachusetts(11/1/2023)
RR
Michigan(11/1/2023)
RR
Minnesota(8/14/2020)
RR
Mississippi(11/1/2023)
RR
Missouri(11/1/2023)
RR
Montana(11/1/2023)
RR
Nebraska(6/10/2019)
RR
Nevada(11/1/2023)
RR
New Hampshire(11/1/2023)
RR
New Jersey(8/29/2018)
RR
New Mexico(5/18/2022)
RR
New York(6/7/2017)
RR
North Carolina(8/29/2018)
RR
North Dakota(11/1/2023)
RR
Ohio(5/9/2018)
RR
Oklahoma(11/1/2023)
RR
Oregon(11/1/2023)
RR
Pennsylvania(12/5/2022)
RR
Puerto Rico(11/1/2023)
RR
Rhode Island(11/1/2023)
RR
South Carolina(11/1/2023)
RR
South Dakota(11/1/2023)
RR
Tennessee(11/1/2023)
RR
Texas(11/1/2023)
RR
Utah(11/1/2023)
RR
Vermont(11/1/2023)
RR
Virginia(1/9/2020)
RR
Washington(11/1/2023)
RR
West Virginia(11/1/2023)
RR
Wisconsin(11/1/2023)
RR
Wyoming(11/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 3/8/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
R&
ROOSEVELT & CROSS, INCORPORATED
ROOSEVELT & CROSS, INCORPORATED
CRD#: 6964 / SEC#: , 8-19363
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
55 Broadway 22nd Fl, New York, NY, 10006
Mailing Address
55 Broadway 22nd Fl, New York, NY, 10006
Phone number
(212) 344-2500
Established
New York since 04/19/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FARAWELL, JOHN MADDEN | DIRECTOR | 1018554 |
| FINN, FRANCIS GREGORY | CHAIRMAN OF THE BOARD | 1019346 |
| BRENNAN, ELAINE MARIE | DIRECTOR | 720043 |
| HALLER, JOSEPH CROSS | DIRECTOR | 4826263 |
| MONAHAN, SCOTT THOMAS | DIRECTOR | 4882785 |
| STAVITSKI, CHARLES CLEMENT | CEO | 5435642 |
| WAGNER, DAVID CHARLES | DIRECTOR | 4249755 |
| WELSH, WILLIAM WALTER | 5% OWNER | 1602929 |
| CAWLEY, KATHLEEN | CCO | 1129804 |
| MOORE, DAVID WILLIAM | COO/SENIOR VICE PRESIDENT | 2209528 |
| SAKOL, DANIEL SCOTT | FINOP | 2813237 |
Disclosures
| Regulatory Event | 4 |
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.
