C. W. B. Talley
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.
C. W. Branch Talley, who also goes by C W Branch Talley, Craig Wendal Branch Talley, Craig Wendall Branch Talley, was a registered financial professional .
C. W. is a previously registered financial professional and started their career in finance in 1986. C. W. had worked at 13 firms and has passed the Series 65, Series 63, Series 3, Series 7, 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
July 26, 2010 - July 21, 2014
PORTFOLIO STRATEGY & MANAGEMENT, LTD
September 21, 2007 - August 25, 2008
ECM INVESTMENT MANAGEMENT, INC.
August 12, 2005 - November 8, 2006
KERN ASSET MANAGEMENT LLC
July 7, 2005 - July 29, 2005
ACCELERATED CAPITAL GROUP
March 23, 2001 - June 5, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - June 5, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
November 29, 1989 - May 12, 1995
QUICK & REILLY, INC.
June 10, 1988 - May 3, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 10, 1988 - May 3, 1989
EQUITABLE ADVISORS, LLC
February 8, 1988 - February 13, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
February 5, 1988 - February 18, 1988
GAF FINANCIAL AND INSURANCE SERVICES
June 4, 1987 - November 3, 1987
REILLY SECURITIES, INC.
March 19, 1986 - May 13, 1987
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: 12/8/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PORTFOLIO STRATEGY & MANAGEMENT, LTD
CRD#: 123159 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 9,305,479 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
