Nex Systems
Type not stated

Brentwood Capital Advisors LLC

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/14/2026: Between January 2021 and December 2025, Brentwood failed to establish and implement an anti-money laundering (AML) compliance program reasonably designed to identify and verify the identities of the beneficial owners of its legal entity customers, in violation of FINRARules 3310(b) and 2010. Between January 2018 and January 2024, Brentwood failed to establish and implement a written AML compliance program that provided for annual (on a calendar-year basis) independent AML testing, and the firm conducted no independent AML testing between 2018 and 2023, in violation of FINRA Rules 3310(c) and 2010.

    Reference 2023077012601data-portal.finra.orgfinra.org

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