Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Brophy is a financial professional with over 12 years of experience in the industry. Brian currently holds a Series 3, 7, and SIE license and is registered with Matrix Executions, LLC. Brian has previously worked at several major financial institutions including Credit Suisse Securities (USA) LLC, RBS Securities Inc., TJM Investments, LLC, and Deutsche Bank Securities Inc. Brian has worked in the Chicago, IL area throughout his career.
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.
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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2
IL
11/04/2022 - Present
Matrix Executions, LLC (Chicago IL)
IL
09/13/2013 - 07/14/2021
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
IL
04/20/2010 - 12/07/2012
RBS SECURITIES INC. (CHICAGO IL)
IL
06/25/2009 - 03/11/2010
TJM INVESTMENTS, LLC (CHICAGO IL)
IL
05/16/2007 - 06/01/2009
DEUTSCHE BANK SECURITIES INC. (CHICAGO IL)
BC
Issued 05/29/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2011
Series 3 - National Commodity Futures Examination
BC
Issued 05/15/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
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