William Robert Bristowe
Professional Summary
William Robert Bristowe is a registered financial advisor currently at ROTHSCHILD & CO REDBURN located in Dallas, Texas. William is registered as a RR (Registered Representative) and started their career in finance in 1988. William has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24 and Series 10 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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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
REDBURN (USA) LLC | ROTHSCHILD & CO REDBURN | ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LLC | REDBURN PARTNERS (USA) LP | REDBURN ATLANTIC
Contact Information
Main Address
1251 Avenue Of The Americas 34th Floor, New York, NY 10020Mailing Address
1251 Avenue Of The Americas 34th Floor, New York, NY 10020Phone Number
(212) 803-7300Established
Delaware since 04/01/2014Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (35 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED | PARENT COMPANY | 325601 |
| BRISTOWE, WILLIAM ROBERT | HEAD OF US ACCESS AND US VICE CHAIRMAN | 1798670 |
| CONNELLY, ARTHUR MARK JR. | US HEAD OF ECM | 2056930 |
| GORDON, BENJAMIN JAKE | CHIEF COMPLIANCE OFFICER | 6677911 |
| JOSEPH, ROWAN MURRAY | HEAD OF NORTH AMERICA | 5517410 |
| KRZAK, ALEXANDER JACOB | PRINCIPAL OPERATIONS OFFICER | 6349160 |
| MCELLIGOTT, CASEY MEREDITH | HEAD OF US EXECUTION | 4440554 |
| SCHACKERT, CHRISTA MARY | FINOP, PRINCIPAL FINANCIAL OFFICER | 4219093 |
Disclosures
Regulatory Event
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Other business activities
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
(5/12/2015)
(7/1/2010)
(9/17/2015)
(7/1/2010)
(7/1/2010)
(7/1/2010)
(7/1/2010)
(12/3/2010)
(7/1/2010)
(7/19/2010)
(7/1/2010)
(7/1/2010)
(7/1/2010)
(7/1/2010)
(7/12/2010)
(7/1/2010)
(12/6/2021)
(7/1/2010)
(6/23/2022)
(7/1/2010)
(5/31/2010)
(8/6/2020)
(7/1/2010)
(2/12/2020)
(3/27/2019)
(7/1/2010)
(7/1/2010)
(7/1/2010)
(6/9/2023)
(7/1/2010)
(2/2/2017)
(2/17/2023)
(10/18/2016)
(7/1/2010)
(7/1/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Dec 2021About the Series 79TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2004About the Series 10 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Robert Bristowe's CRS (Customer Relationship Summary).
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