Brandan M. Spears

BGC FINANCIAL, L.P.

New York, NY 10038

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CRD#: 6570002

Professional summary

Brandan Michael Spears is a registered financial professional currently at BGC FINANCIAL, L.P. located in New York, New York and FMX EXECUTION, LLC located in New York, New York.

Brandan is registered as a RR (Registered Representative) and started their career in finance in 2016. Brandan has worked at 5 firms and has passed the Series 63, 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 Brandan Michael Spears'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

October 25, 2022 - Present

BGC FINANCIAL, L.P.

Office #1: 199 Water Street 19th Floor, New York, NY 10038

CRD#: 19801

New York, NY

Current

June 2, 2024 - Present

FMX EXECUTION, LLC

Office #1: 199 Water Street , New York, NY 10038

CRD#: 154075

NEW YORK, NY

Past

December 24, 2021 - September 21, 2022

MARKETAXESS CORPORATION

CRD#: 44542

NEW YORK, NY

Past

July 27, 2017 - February 22, 2022

LIQUIDITYEDGE, LLC

CRD#: 174297

NEW YORK, NY

Past

June 10, 2016 - September 8, 2016

LIQUIDITYEDGE, LLC

CRD#: 174297

NEW YORK, NY

Past

January 21, 2016 - June 8, 2016

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

STATEN ISLAND, NY

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

New York
(10/25/2022)

Exams

State Security Law Exam

Series 63

Date: 2/19/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/2016

General Securities Representative Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

FMX EXECUTION, LLC

FENICS EXECUTION, LLC | MODENA SECURITIES LLC | KYTE SECURITIES LLC | FMX EXECUTION, LLC

CRD#: 154075 / SEC#: , 8-68606

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

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Contact information

Main Address

55 Water Street, New York, NY 10041

Mailing Address

55 Water Street, New York, NY 10041

Phone number

(212) 968-4122

Established

New York since 04/20/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FENICS MARKETS XCHANGE, LLC	SOLE MEMBER
ANZALONE, THOMAS JOSEPH	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER	1161513
HAUF, JASON WILLIAMS	CHIEF FINANCIAL OFFICER	4163331
RINALDO, MARK J	CHIEF OPERATING OFFICER	4824739
SCOTTO, LOUIS JAMES	CHIEF EXECUTIVE OFFICER	1483052
SULFARO, MICHAEL CARL	CHIEF COMPLIANCE OFFICER	2483562

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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Advisor Monitoring

Firm Stability Insights

Brandan M. Spears

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brandan Michael Spears's CRS (Customer Relationship Summary).

Certified licenses

Experience

FMX EXECUTION, LLC

MARKETAXESS CORPORATION

LIQUIDITYEDGE, LLC

LIQUIDITYEDGE, LLC

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/19/2016

SIE

Date: 10/1/2018

Series 7

Date: 1/21/2016

Cboe BZX Exchange, Inc.

FINRA

NYSE Arca, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

FMX EXECUTION, LLC

Contact information

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FMX EXECUTION, LLC

TRUST BUT VERIFY

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