David J. Brennan
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.
David John Brennan was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2017. David had worked at 1 firm 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
December 14, 2017 - March 25, 2022
WESTPAC CAPITAL MARKETS LLC
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
WESTPAC CAPITAL MARKETS LLC
CRD#: 164763 / SEC#: , 8-69113
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTPAC CAPITAL MARKETS HOLDING CORPORATION | MEMBER | |
| BROWN, STUART JOHN | BOARD MEMBER | 7382811 |
| GLYNN, MICHAEL GERARD | CHIEF FINANCIAL OFFICER | 3219445 |
| GORMAN, DENNIS | ELECTED MEMBER | 6089133 |
| LOGAN-POWELL, JACQUELINE KATE | ELECTED MEMBER | 7847135 |
| MASOR, JEFFREY LAWRENCE | AML OFFICER | 6500490 |
| PORTES, SUSAN LIFSEY | CHIEF COMPLIANCE OFFICER | 1925615 |
| VAN DER GRIEND, MARK | CEO, ELECTED MEMBER | 2319152 |
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.
