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WC

William S. Culman

THIRD SEVEN CAPITAL LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2428008
WC

Professional summary

William Salisbury Culman, who also goes by William Salisbury Colman, Liam Culman, Peter Culman, is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut.

William is registered as a RR (Registered Representative) and started their career in finance in 1994. William has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Salisbury Colman | Liam Culman | Peter Culman

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 William Salisbury Culman'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

January 10, 2018 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
BD
CRD#: 160209
Greenwich, CT
Past

July 12, 2016 - December 31, 2017

WAVECREST SECURITIES LLC

BD
CRD#: 160135
BRENTWOOD, TN
Past

August 26, 2010 - January 26, 2011

ELEVATION, LLC

BD
CRD#: 140341
NEW YORK, NY
Past

July 16, 2003 - July 15, 2008

SOLEIL SECURITIES CORPORATION

BD
CRD#: 124737
NEW YORK, NY
Past

September 24, 2002 - January 22, 2003

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

December 22, 2000 - June 29, 2001

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

June 14, 1999 - July 16, 1999

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 10, 1999 - October 20, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

September 1, 1997 - June 14, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

August 19, 1994 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20

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
California
(1/6/2022)
RR
Connecticut
(1/6/2022)
RR
Florida
(3/9/2023)
RR
Illinois
(9/29/2022)
RR
Maryland
(1/6/2022)
RR
New Jersey
(3/9/2023)
RR
New York
(1/10/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/12/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 11/17/2003
Limited Representative-Equity Trader Exam
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

Disclosures

Regulatory Event1

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.

Company Information

THIRD SEVEN CAPITAL LLC

CRD#: 160209Greenwich, CT 06830

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