Darryl C. Wise

VESTECH SECURITIES

St. Louis, MO 63141

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CRD#: 1993940

Professional summary

Darryl C. Wise, who also goes by Darryl C Wise, Darryl Wise, is a registered financial professional currently at VESTECH SECURITIES, INC. located in St. Louis, Missouri.

Darryl is registered as a RR (Registered Representative) and started their career in finance in 1989. Darryl has worked at 17 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Darryl C Wise | Darryl Wise

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darryl C. Wise's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 29, 2024 - Present

VESTECH SECURITIES, INC.

Office #1: 11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141

CRD#: 5036

Past

June 10, 1996 - January 24, 1997

PRIME CHARTER LTD.

CRD#: 25668

NEW YORK, NY

Past

August 12, 1994 - June 10, 1996

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

September 21, 1992 - July 19, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

October 25, 1989 - October 14, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/29/2024)

Florida
(8/6/2024)

Georgia
(7/31/2024)

New Jersey
(8/5/2024)

New York
(8/4/2024)

Texas
(7/31/2024)

Exams

State Security Law Exam

Series 63

Date: 10/31/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VESTECH SECURITIES, INC.

CRD#: 41409 / SEC#: , 8-49409

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141

Mailing Address

11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141

Phone number

(314) 828-2111

Established

Kansas since 03/13/1996

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HUANG, JOHN CHUNEN	PRESIDENT	2659909
KNESE, PAUL BERNARD	AML OFFICER AND DSO	2541241
RAMIREZ, MARCO ANTONIO	CCO	4702164

Disclosures

Regulatory Event

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.

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Darryl C. Wise

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darryl C. Wise's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIRLINGSHIRE INVESTMENTS

WESTERN INTERNATIONAL SECURITIES, INC.

AEGIS CAPITAL CORP.

AVALON PARTNERS, INC.

SUMMIT BROKERAGE SERVICES, INC.

MAXIM GROUP LLC

WESTROCK ADVISORS, INC.

DPEC CAPITAL, INC.

GILFORD SECURITIES INCORPORATED

SOLID ISG CAPITAL MARKETS, LLC

FIRST METROPOLITAN SECURITIES, INC.

SHAMUS GROUP, INC.

PRIME CHARTER LTD.

JOSEPHTHAL & CO., INC.

GRUNTAL & CO., L.L.C.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/31/1989

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1989

FINRA

Current Firm

VESTECH SECURITIES, INC.

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VESTECH SECURITIES, INC.

TRUST BUT VERIFY

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