FB
Francis J. Brennan
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CRD#: 805832
FB
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.
Francis Joseph Brennan, who also goes by Fran Brennan, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1981. Francis had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Fran Brennan
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.
1)FL ATLANTIC UNV, BD MEMBER, GLADES RD, BOCA RATON, FL 33432, PH 561-395-1169, START 2007, TOAL HRS MO. 4, 2) FRANCIS J BRANNAN, PRES., 1300 N. FED HWY, BOCA RATON, FL, PH 561-395-1169, 37 YRS, DUTIES: THIS IS A SUB CH S CORPS 3)PARADISE BANK, BD OF ADVISORS, FEDERAL HWY, BOCA RATON, FL 37432, PH 561-392-5444, TOTAL HRS MO. 12, DUTIES: BD OF ADVISORS 4)BRENNAN FRANCIS, PRES., 1300 N. FEDERAL HWY, STE 211, BOCA RATON, FL 33432, PH561-395-1169, START 10 YRS, TOTAL HRS MO. 120, DUTIES: ADMINISTRATIVES, MARKETING, FINANCIAL PLANNING, ESTATE-RETIREMENT PLANNING, CO-HOST RADIO SHOW, which went off the air 2014.He was associated with Virtus Capital Advisors, LLC but that never became operational as a going concern.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 24, 2016 - March 29, 2022
SB ADVISORY, LLC
RIA
CRD#: 154680
ATLANTA, GA
Past
June 7, 2016 - December 11, 2019
IFS SECURITIES
BD
CRD#: 40375
Boca Raton, FL
Past
August 31, 2011 - May 3, 2016
CALDWELL INTERNATIONAL SECURITIES
RIA
CRD#: 104323
BOCA RATON, FL
Past
June 1, 2011 - May 3, 2016
CALDWELL INTERNATIONAL SECURITIES
BD
CRD#: 104323
BOCA RATON, FL
Past
July 19, 2010 - May 31, 2011
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
BOCA RATON, FL
Past
July 15, 2010 - May 31, 2011
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
BOCA RATON, FL
Past
June 5, 2008 - March 23, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
BOCA RATON, FL
Past
June 2, 2008 - March 23, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
BOCA RATON, FL
Past
October 17, 2003 - May 30, 2008
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
RIA
CRD#: 109701
BOCA RATON, FL
Past
September 9, 2003 - May 30, 2008
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
BOCA RATON, FL
Past
January 4, 2000 - September 16, 2003
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
BOCA RATON, FL
Past
January 4, 2000 - September 16, 2003
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
August 15, 1994 - December 31, 1999
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
August 27, 1993 - October 12, 1994
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
April 20, 1992 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
March 5, 1990 - May 12, 1992
NOBLE CAPITAL MARKETS, INC.
BD
CRD#: 15768
Past
February 3, 1989 - September 21, 1989
HASAN GROWNEY CO. INC.
BD
CRD#: 17137
Past
November 20, 1985 - May 12, 1992
NOBLE CAPITAL MARKETS, INC.
BD
CRD#: 15768
BOCA RATON, FL
Past
July 3, 1981 - June 27, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/8/1975
Registered Representative ExaminationCurrent Firm
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184
Mailing Address
Phone number
(404) 704-0406
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,540 |
| AUM (Assets Under Management) | $ 404,771,341 |
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.
