Brian Edward Wiseman
Professional Summary
Brian Edward Wiseman is a registered financial advisor currently at SOUTHSTATE SECURITIES CORP. located in Memphis, Tennessee. Brian is registered as a RR (Registered Representative) and started their career in finance in 1987. Brian has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | SOUTHSTATE SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP
Contact Information
Main Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424Mailing Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424Phone Number
(901) 260-6800Established
Tennessee since 03/31/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | — |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
Regulatory Event
9Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/11/2019)
(3/26/1999)
(8/27/1996)
(5/25/2006)
(1/11/2019)
(6/2/2005)
(11/5/1991)
(1/11/2019)
(7/18/1996)
(1/11/2019)
(9/21/2018)
(1/11/2019)
(1/11/2019)
(1/11/2019)
(1/3/2003)
(12/5/2023)
(2/28/1997)
(2/3/1987)
(1/11/2019)
(3/25/2002)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1987About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Brian Edward Wiseman's CRS (Customer Relationship Summary).
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