WS
William B. Smith
PERELLA WEINBERG PARTNERS LP
Chicago, IL 60606
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CRD#: 2167377
WS
Professional summary
William Brennan Smith, who also goes by W. B Smith, William Brennan Smith, Brennan Smith, W. B. Smith, is a registered financial professional currently at PERELLA WEINBERG PARTNERS LP located in Chicago, Illinois.
William is registered as a RR (Registered Representative) and started their career in finance in 1995. William has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
W. B Smith | William Brennan Smith | Brennan Smith | W. B. Smith
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.
CRS (Client Relationship Summary) - BD
Click below to view William Brennan Smith's 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®
NoneExperience
Current
January 4, 2018 - Present
PERELLA WEINBERG PARTNERS LP
Office #1: 150 N. Riverside Plaza Suite 3880, Chicago, IL 60606BD
CRD#: 138618
Chicago, IL
Past
March 6, 2020 - January 20, 2021
TUDOR PICKERING HOLT & CO ADVISORS LP
BD
CRD#: 158253
CHICAGO, IL
Past
December 3, 1997 - January 18, 2018
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
Past
September 28, 1995 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/4/2018)
RR
Alaska(1/4/2018)
RR
Arizona(1/4/2018)
RR
Arkansas(1/4/2018)
RR
California(1/4/2018)
RR
Colorado(1/4/2018)
RR
Connecticut(1/4/2018)
RR
Delaware(1/4/2018)
RR
District of Columbia(1/4/2018)
RR
Florida(1/4/2018)
RR
Georgia(1/4/2018)
RR
Hawaii(1/4/2018)
RR
Idaho(1/4/2018)
RR
Illinois(1/4/2018)
RR
Indiana(1/4/2018)
RR
Iowa(1/4/2018)
RR
Kansas(1/4/2018)
RR
Kentucky(1/4/2018)
RR
Louisiana(1/4/2018)
RR
Maine(1/4/2018)
RR
Maryland(1/4/2018)
RR
Massachusetts(1/4/2018)
RR
Michigan(1/4/2018)
RR
Minnesota(1/4/2018)
RR
Mississippi(1/4/2018)
RR
Missouri(1/4/2018)
RR
Montana(1/4/2018)
RR
Nebraska(1/4/2018)
RR
Nevada(1/4/2018)
RR
New Hampshire(1/4/2018)
RR
New Jersey(1/4/2018)
RR
New Mexico(1/4/2018)
RR
New York(1/4/2018)
RR
North Carolina(1/4/2018)
RR
North Dakota(1/4/2018)
RR
Ohio(1/4/2018)
RR
Oklahoma(1/4/2018)
RR
Oregon(1/4/2018)
RR
Pennsylvania(1/4/2018)
RR
Rhode Island(1/4/2018)
RR
South Carolina(1/4/2018)
RR
South Dakota(1/4/2018)
RR
Tennessee(2/25/2021)
RR
Texas(1/4/2018)
RR
Utah(1/4/2018)
RR
Vermont(1/4/2018)
RR
Virginia(1/4/2018)
RR
Washington(1/4/2018)
RR
West Virginia(1/4/2018)
RR
Wisconsin(1/4/2018)
RR
Wyoming(1/4/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PERELLA WEINBERG PARTNERS LP
PADCO ADVISORS L.P. | TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC | TUDOR, PICKERING, HOLT & CO. | TUDOR PICKERING HOLT & CO ADVISORS LP | TPH&CO. THE ENERGY BUSINESS OF PERELLA WEINBERG | TPH&CO. - THE ENERGY BUSINESS OF PERELLA WEINBERG PARTNERS | TPH&CO. | TPH & CO. - THE ENERGY BUSINESS OF PERELLA WEINBERG PARTNERS | TPH & CO. | PWP SECURITIES | PERELLA WEINBERG PARTNERS LP | PERELLA WEINBERG | PADCO ADVISORS LLC
CRD#: 138618 / SEC#: , 8-67167
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
767 Fifth Avenue, New York, NY 10153
Mailing Address
767 Fifth Avenue, New York, NY 10153
Phone number
(212) 287-3200
Established
Delaware since 10/11/2005
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERELLA WEINBERG PARTNERS GROUP LP | LIMITED PARTNER | |
| BEDNAR, ANDREW THOMAS | PARTNER AND CHIEF EXECUTIVE OFFICER | 1856221 |
| D'ANNA, JOHN R. JR. | PARTNER, HEAD OF SALES | 5387688 |
| GOTTSCHALK, ALEXANDRA KATHLEEN | PARTNER, CHIEF FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5864478 |
| KAMEN, JUSTIN BARTHOLOMEW | CHIEF LEGAL OFFICER AND CORPORATE SECRETARY | 7047700 |
| MICHAEL, STEPHEN CHADWICK | PRESIDENT OF TPH&CO. | 4430416 |
| NORDEN, VIVIANA CARMONA | FINANCIAL OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 4886485 |
| PADCO GP LLC | GENERAL PARTNER | |
| RAMANAND, ROSEANNE NANDANI | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 5063023 |
| WEINBERG, PETER AMORY | CHAIRMAN AND CO-FOUNDER | 2100495 |
Disclosures
| Regulatory Event | 2 |
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.
