Brial R. Wissman
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.
Brial Ray Wissman was a registered financial professional .
Brial is a previously registered financial professional and started their career in finance in 1984. Brial had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2022 - October 14, 2022
TD AMERITRADE, INC.
March 18, 2022 - April 15, 2024
TD AMERITRADE, INC.
December 7, 2012 - April 15, 2024
CHARLES SCHWAB & CO., INC.
December 7, 2012 - April 15, 2024
CHARLES SCHWAB & CO., INC.
November 7, 2011 - November 26, 2012
TD AMERITRADE, INC.
November 7, 2011 - November 26, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 7, 2011 - November 26, 2012
TD AMERITRADE, INC.
September 15, 2008 - September 19, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
September 15, 2008 - September 19, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
April 11, 2006 - September 27, 2007
FIFTH THIRD SECURITIES, INC.
November 19, 2004 - September 27, 2007
FIFTH THIRD SECURITIES, INC.
October 15, 1993 - August 18, 2004
CHARLES SCHWAB & CO., INC.
October 1, 1992 - September 29, 1993
FINANCIAL WEST GROUP
August 14, 1990 - October 31, 1990
GLENFED BROKERAGE SERVICES
August 30, 1985 - November 12, 1988
UBS FINANCIAL SERVICES INC.
May 23, 1984 - September 11, 1985
MORGAN STANLEY DW 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
Series 8
Date: 12/3/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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