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Detailed Report
Brendan Robert McMurtrie
BRENDAN R MCMURTRIE, BRENDAN R. MCMURTRIE
CRD#: 4001706
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 San Marcos, CA
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (<1 year)2 FIRMS2004 - 2006 (1 year)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - 2017 (5 years)2 FIRMS2017 - 2021 (3 years)2 FIRMS2019 - 2021 (1 year)2 FIRMS2021 - Present (3 years)BNFP SECURITIES, INC. (CRD# 42046)2006 - 2009 (3 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2003 (<1 year)BCAL FED INVESTMENTS (CRD# 19631)2002 - 2003 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2001 (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2000 - 2001 (1 year)IANFP SECURITIES, INC. (CRD# 42046)2008 - 2009 (1 year)
License(s)

State Registrations

B
California 6/22/2021
IA
Wisconsin 6/23/2021
B
Wisconsin 6/22/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
San Marcos, CA
Registered with this firm since 6/23/2021
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
San Marcos, CA
Registered with this firm since 6/22/2021
Previous Registration(s)
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IA
 07/17/2019 - 05/21/2021 SORRENTO PACIFIC FINANCIAL, LLC (CRD#:127787) SAN DIEGO, CA
IA
 11/20/2017 - 05/21/2021 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) SAN DIEGO, CA
B
 07/16/2019 - 05/21/2021 SORRENTO PACIFIC FINANCIAL, LLC (CRD#:127787) SAN DIEGO, CA
B
 11/20/2017 - 05/21/2021 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) SAN DIEGO, CA
IA
 09/21/2012 - 11/17/2017 AXA ADVISORS, LLC (CRD#:6627) CARLSBAD, CA
B
 09/20/2012 - 11/17/2017 AXA ADVISORS, LLC (CRD#:6627) CARLSBAD, CA
IA
 01/30/2012 - 08/28/2012 METLIFE SECURITIES INC. (CRD#:14251) SAN DIEGO, CA
B
 01/01/2012 - 08/28/2012 METLIFE SECURITIES INC. (CRD#:14251) SAN DIEGO, CA
IA
 04/02/2009 - 12/23/2009 LPL FINANCIAL CORPORATION (CRD#:6413) BONSALL, CA
B
 03/30/2009 - 12/23/2009 LPL FINANCIAL CORPORATION (CRD#:6413) BONSALL, CA
IA
 01/10/2008 - 04/01/2009 NFP SECURITIES, INC. (CRD#:42046) BONSALL, CA
B
 02/14/2006 - 04/01/2009 NFP SECURITIES, INC. (CRD#:42046) BONSALL, CA
IA
 09/09/2004 - 02/06/2006 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) SAN DIEGO, CA
B
 09/09/2004 - 02/06/2006 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
IA
 11/12/2003 - 08/25/2004 CITICORP INVESTMENT SERVICES (CRD#:23988) CARLSBAD, CA
B
 11/10/2003 - 08/25/2004 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 02/05/2003 - 06/02/2003 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 02/20/2002 - 02/05/2003 CAL FED INVESTMENTS (CRD#:19631) SACRAMENTO, CA
B
 03/02/2001 - 12/12/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 02/16/2000 - 02/26/2001 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.