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Brian Jay Waltman

Brean Capital, LLC

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About Brian Jay Waltman

Brian Waltman is a financial advisor who has been in the industry since 1984. Brian is currently registered with Brean Capital, LLC. Brian's previous experience includes working with Gleacher & Company Securities, Inc., MF Global Inc., UBS Securities LLC, HSBC Securities (USA) Inc., Banca IMI Securities Corp., Mabon, Nugent & Co., PaineWebber Incorporated, Philips, Appel & Walden, Inc., Gintelco, Inc., and Gintel & Co. Brian is registered with the state of New Jersey and is licensed to sell securities in 32 states. Brian is a Series 7 and Series 63 licensed professional.

Firm Information

Brian Waltman is currently registered with Brean Capital, LLC. Brean Capital, LLC is a Limited Liability Company formed on February 3, 2000. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

83

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Brian Waltman’s Registration & Firm History

NJ

01/02/2013 - Present

Brean Capital, LLC (SUMMIT NJ)

NJ

12/01/2011 - 01/02/2013

GLEACHER & COMPANY SECURITIES, INC. (WOODBRIDGE NJ)

NY

06/02/2011 - 12/05/2011

MF GLOBAL INC. (NEW YORK NY)

NJ

05/28/2003 - 05/05/2011

UBS SECURITIES LLC (WESTFIELD NJ)

NY

12/15/1995 - 06/04/2003

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

NY

04/30/1991 - 10/06/1995

BANCA IMI SECURITIES CORP. (NEW YORK NY)

NA

09/22/1987 - 04/30/1991

MABON, NUGENT & CO.

NA

05/29/1987 - 10/05/1987

PAINEWEBBER INCORPORATED

NA

02/06/1986 - 02/28/1986

PHILIPS, APPEL & WALDEN, INC.

NA

07/22/1985 - 02/06/1986

GINTELCO, INC.

NA

02/24/1983 - 06/29/1985

GINTEL & CO.

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Licenses & Designations

BC

Issued 04/22/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/19/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Brian Jay Waltman.
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