Brian C. Connor
Professional summary
Brian Charles Connor, who also goes by Brian Connor, is a registered financial professional currently at TENEO SECURITIES LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2016. Brian has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Charles Connor's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2022 - Present
TENEO SECURITIES LLC
Office #1: 280 Park Avenue 4th Floor, New York, NY 10017October 11, 2021 - December 16, 2022
HOULIHAN LOKEY CAPITAL, INC.
July 6, 2016 - June 27, 2018
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/15/2022)
Exams
Series 79TO
Date: 10/11/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
TENEO SECURITIES LLC
CRD#: 151256 / SEC#: , 8-68354
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TENEO CAPITAL CORPORATION | SOLE MEMBER | |
| BOGUSLASKI, CHARLES ROBERT | CHIEF OFFICER | 4845807 |
| HALLERAN, KRISTIN MARIE | CHIEF COMPLIANCE OFFICER | 4726430 |
| POLKOWITZ, GARY CRAIG | MEMBER OF BOARD OF DIRECTORS | 2866014 |
| ROTHENBERG, SHARI P | FINOP/PFO/POO | 6590875 |
| SULLIVAN, STEVEN MICHAEL | MEMBER OF BOARD OF DIRECTORS | 5162216 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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