BM
Brendan N. Mcgowan
MUTUAL OF AMERICA SECURITIES LLC
Boca Raton, FL 33487
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CRD#: 7714529
BM
Professional summary
Brendan Nathaniel Mcgowan, who also goes by Brendan N Mcgowan, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Boca Raton, Florida.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 2023. Brendan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brendan N Mcgowan
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.
02/2019 to Present; Mullins Auto Brokers; non-investment related; 18583 Sussex Hwy, Bridgeville, DE 19933; Auto Dealership; General Manager; aprox. 20 hours/week
CRS (Client Relationship Summary) - BD
Click below to view Brendan Nathaniel Mcgowan'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®
NoneExperience
Current
June 21, 2024 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 1150 Broken Sound Parkway Nw, Boca Raton, FL 33487BD
CRD#: 27878
Boca Raton, FL
Past
December 19, 2023 - June 17, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
MINNEAPOLIS, MN
Past
December 19, 2023 - June 17, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
September 6, 2023 - September 14, 2023
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BALA CYNWYD, PA
Past
July 20, 2023 - September 14, 2023
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALA CYNWYD, PA
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
Alabama(1/3/2025)
RR
Alaska(1/3/2025)
RR
Arizona(1/3/2025)
RR
Arkansas(1/3/2025)
RR
California(1/3/2025)
RR
Colorado(1/3/2025)
RR
Connecticut(1/3/2025)
RR
Delaware(6/21/2024)
RR
District of Columbia(1/3/2025)
RR
Florida(1/3/2025)
RR
Georgia(1/3/2025)
RR
Hawaii(1/3/2025)
RR
Idaho(1/3/2025)
RR
Illinois(1/3/2025)
RR
Indiana(1/3/2025)
RR
Iowa(1/3/2025)
RR
Kansas(1/3/2025)
RR
Kentucky(1/3/2025)
RR
Louisiana(1/3/2025)
RR
Maine(1/3/2025)
RR
Maryland(1/3/2025)
RR
Massachusetts(1/3/2025)
RR
Michigan(1/3/2025)
RR
Minnesota(1/3/2025)
RR
Mississippi(1/3/2025)
RR
Missouri(1/3/2025)
RR
Montana(1/3/2025)
RR
Nebraska(1/3/2025)
RR
Nevada(1/3/2025)
RR
New Hampshire(1/3/2025)
RR
New Jersey(6/21/2024)
RR
New Mexico(1/3/2025)
RR
New York(1/3/2025)
RR
North Carolina(1/3/2025)
RR
North Dakota(1/3/2025)
RR
Ohio(1/3/2025)
RR
Oklahoma(1/3/2025)
RR
Oregon(1/3/2025)
RR
Pennsylvania(6/21/2024)
RR
Rhode Island(1/3/2025)
RR
South Carolina(1/3/2025)
RR
South Dakota(1/3/2025)
RR
Tennessee(1/3/2025)
RR
Texas(1/3/2025)
RR
Utah(1/3/2025)
RR
Vermont(1/3/2025)
RR
Virginia(1/3/2025)
RR
Washington(1/3/2025)
RR
West Virginia(1/3/2025)
RR
Wisconsin(1/3/2025)
RR
Wyoming(1/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/20/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MO
MUTUAL OF AMERICA SECURITIES LLC
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
320 Park Avenue, New York, NY 10022
Mailing Address
320 Park Avenue, New York, NY 10022-3869
Phone number
(212) 224-1600
Established
Delaware since 06/29/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
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.
