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BR

Brendan Roche

LOCKTON RE CAPITAL MARKETS
DUBLIN 2, D02 HE97
Some features on this profile are disabled
CRD#: 7085138
BR

Professional summary

Brendan Roche is a registered financial professional currently at LOCKTON RE CAPITAL MARKETS, LLC .

Brendan is registered as a RR (Registered Representative) and started their career in finance in 2019. Brendan has worked at 2 firms and has passed the Series 63, Series 7TO and SIE 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brendan Roche'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

March 11, 2024 - Present

LOCKTON RE CAPITAL MARKETS, LLC

Office #1: 18 Lower Leeson Street, Dublin 2, D02 HE97
BD
CRD#: 323110
DUBLIN 2,
Past

September 18, 2019 - August 13, 2021

MMC SECURITIES LLC

BD
CRD#: 103846
Dublin,

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
New York
(12/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/15/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/12/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LR
LOCKTON RE CAPITAL MARKETS, LLC
LOCKTON RE CAPITAL MARKETS, LLC

CRD#: 323110 / SEC#: , 8-70988

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
261 Fifth Avenue 10th Floor, New York, NY 10016
Mailing Address
261 Fifth Avenue 10th Floor, New York, NY 10016
Phone number
(332) 262-4833
Established
Missouri since 07/25/2022
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LOCKTON RE, LPSOLE MEMBER
BRANT, DAVID ROBERTFINOP/ PFO/ POO2718478
BRESLIN, ZACHARY NOLANMANAGING DIRECTOR, HEAD OF CAPITAL MARKETS6685745
HOMAN, LISA MCHIEF COMPLIANCE OFFICER7730979

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.

Company Information

LOCKTON RE CAPITAL MARKETS, LLC

CRD#: 323110Dublin 2, D02 HE97

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