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Brian Robert Keating

Marex Capital Markets Inc.

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About Brian Robert Keating

Brian Keating is a financial professional with over 20 years of experience in the industry. Brian has a proven track record of success in the securities industry, having worked with several prominent firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., and Mizuho Securities USA LLC. Brian currently works for Marex Capital Markets Inc. and holds the Series 7, Series 63, and SIE licenses. Brian is registered with FINRA and is licensed in New York.

Firm Information

Brian Keating is currently registered with Marex Capital Markets Inc.. Marex Capital Markets Inc. is a Corporation formed in 1952 and approved for operations in all 50 states, the District of Columbia, and Puerto Rico. The firm has an active SEC registration and has reported 42 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

71

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 Keating’s Registration & Firm History

NY

03/19/2024 - Present

Marex Capital Markets Inc. (NEW YORK NY)

NY

11/07/2012 - 02/29/2024

MIZUHO SECURITIES USA LLC (NEW YORK NY)

NY

11/01/2010 - 10/26/2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

10/23/2009 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

12/07/2004 - 06/10/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

10/29/2002 - 11/01/2004

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/27/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/28/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Brian Robert Keating.
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