William H. Wise
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Howard Wise JR, who also goes by Billy Wise Jr, William Howard Wise, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2015 - October 18, 2017
BREAN CAPITAL, LLC
May 31, 2012 - June 22, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 4, 2008 - May 24, 2012
RAYMOND JAMES & ASSOCIATES, INC.
May 8, 2006 - June 6, 2008
J.P. MORGAN SECURITIES LLC
May 8, 2006 - June 6, 2008
J.P. MORGAN SECURITIES LLC
January 9, 2004 - May 9, 2006
MORGAN KEEGAN & COMPANY, LLC
August 2, 1993 - May 9, 2006
MORGAN KEEGAN & COMPANY, LLC
April 5, 1993 - August 2, 1993
CAPITOL SECURITIES GROUP, INC.
August 28, 1990 - March 30, 1993
APS FINANCIAL CORPORATION
January 2, 1990 - August 3, 1990
MORGAN STANLEY DW INC.
December 21, 1983 - January 5, 1990
CARTY, HARDING & HEARN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
