Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Brennan is a securities professional with over 25 years of experience in the financial services industry. Andrew is currently a Registered Representative at Roth Capital Partners, LLC, where Andrew has been employed since January 31, 2023. Prior to that, Andrew was a Registered Representative at MKM PARTNERS LLC from April 27, 2009 to January 31, 2023. Andrew has held previous roles at BANC OF AMERICA SECURITIES LLC, MILLER TABAK + CO., LLC, and KNIGHT CAPITAL MARKETS, LLC. Andrew is licensed to sell securities in Connecticut and New York. Andrew is a Series 7, Series 24, Series 55, Series 63, and Series 99TO licensed professional. Andrew is a knowledgeable and experienced financial advisor who is committed to providing clients with personalized financial advice.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
(1) distribution of sell-side research reports/corporate access (2) solicitor
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
1
2
CT
01/31/2023 - Present
Roth Capital Partners, LLC (STAMFORD CT)
CT
04/27/2009 - 01/31/2023
MKM PARTNERS LLC (STAMFORD CT)
NY
05/30/2006 - 05/04/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
10/14/2002 - 05/15/2006
MILLER TABAK + CO., LLC (NEW YORK NY)
NY
07/08/1996 - 04/16/2002
KNIGHT CAPITAL MARKETS, LLC. (PURCHASE NY)
BC
Issued 06/06/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/03/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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