James F. Brennan
Professional summary
James Frederick Brennan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1976. Prior to being barred, James had worked at 10 firms, which includes TRW CAPITAL MANAGEMENT LLC, ILIE-BRENNAN CAPITAL MANAGEMENT LLC, T.R. WINSTON & COMPANY LLC, GILFORD SECURITIES INCORPORATED, BLAINE ANDREWS & CO. INC., LEHMAN BROTHERS INC., DREXEL BURNHAM LAMBERT INCORPORATED, LEHMAN BROTHERS KUHN LOEB INCORPORATED, LEHMAN BROTHERS INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2010 - March 12, 2015
TRW CAPITAL MANAGEMENT, LLC
August 1, 1997 - March 18, 2007
ILIE-BRENNAN CAPITAL MANAGEMENT, LLC
September 14, 1993 - January 30, 2015
T.R. WINSTON & COMPANY, LLC
January 27, 1992 - August 31, 1993
GILFORD SECURITIES INCORPORATED
June 11, 1987 - January 1, 1990
BLAINE, ANDREWS & CO., INC.
July 17, 1981 - June 29, 1987
LEHMAN BROTHERS INC.
July 23, 1979 - August 1, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
February 22, 1978 - July 23, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 25, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
May 3, 1976 - July 23, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
TRW CAPITAL MANAGEMENT, LLC
CRD#: 151082 / SEC#:
Contact information
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.
