Nicholas C. Gunning
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.
Nicholas Charles Gunning was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2017. Nicholas had worked at 10 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2020 - May 27, 2022
BREAN CAPITAL, LLC
May 12, 2018 - March 5, 2020
FMX EXECUTION, LLC
May 10, 2018 - March 5, 2020
SUNRISE BROKERS LLC
May 10, 2018 - March 5, 2020
MINT BROKERS
May 10, 2018 - March 5, 2020
GFI SECURITIES LLC
May 10, 2018 - March 5, 2020
CFWP SECURITIES, LLC
May 10, 2018 - March 5, 2020
CF SECURED, LLC
May 10, 2018 - March 5, 2020
BGC FINANCIAL, L.P.
May 10, 2018 - March 5, 2020
AQUA SECURITIES L.P.
September 25, 2017 - March 5, 2020
CANTOR FITZGERALD & CO.
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
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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