Brendan E. Lynch
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.
Brendan Edward Lynch, who also goes by Brendan Lynch, was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2019. Brendan had worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2022 - June 7, 2024
ADP BROKER-DEALER, INC.
April 6, 2022 - June 15, 2022
ARETE WEALTH MANAGEMENT, LLC
March 22, 2022 - June 16, 2022
ARETE WEALTH ADVISORS, LLC
April 19, 2021 - March 21, 2022
INDEPENDENT BROKERAGE SOLUTIONS LLC
April 14, 2020 - April 9, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
April 13, 2020 - April 9, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
March 17, 2020 - March 31, 2020
EQUITABLE ADVISORS, LLC
October 25, 2019 - March 31, 2020
EQUITABLE ADVISORS, 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
Series 7TO
Date: 10/25/2019
General Securities Representative ExaminationCurrent Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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