William H. Braun
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 H. Braun, who also goes by William H Braun, William Hugh Braun, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2000. William had worked at 3 firms and has passed the Series 66, SIE, Series 55, Series 7, Series 4, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2002 - June 21, 2016
CLEARY GULL INC.
March 9, 2002 - April 9, 2002
RBC CAPITAL MARKETS, LLC
June 1, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
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 55
Date: 8/12/2002
Limited Representative-Equity Trader ExamCurrent Firm
CLEARY GULL INC.
CRD#: 45309 / SEC#: 801-55574, 8-51037
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CGIB, INC. | DIRECT OWNER | |
| BREMMER, PATRICK JAMES | MANAGING DIRECTOR | 5743353 |
| CHIMENTI, RYAN CHRISTOPHER | MANAGING DIRECTOR | 5709935 |
| GORLINSKI, GREGORY THOMAS | MANAGING DIRECTOR | 2068899 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| MILLER, RONALD DAVID | PRESIDENT (5/2016) AND MANAGING DIRECTOR | 1172700 |
| OLSTA, RYAN A | MANAGING DIRECTOR | 4197266 |
| PETERSON, JOHN REUBEN | MANAGING DIRECTOR, SECRETARY | 2835168 |
| WAWRZYNIAKOWSKI, JAMES FRANCIS JR | CHIEF ADMINISTRATIVE OFFICER, CHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 4061554 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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