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CW

Curtis L. Willing

BREAN CAPITAL
Darien, CT 06820
Some features on this profile are disabled
CRD#: 2647768
CW

Professional summary

Curtis Lee Willing, who also goes by Curt Willing, Curtis Lee Willing, is a registered financial professional currently at BREAN CAPITAL, LLC located in Darien, Connecticut.

Curtis is registered as a RR (Registered Representative) and started their career in finance in 1995. Curtis has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Curt Willing | Curtis Lee Willing

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 Curtis Lee Willing'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®
None

Experience

Current

January 6, 2022 - Present

BREAN CAPITAL, LLC

Office #1: 3 Thorndal Circle Suite 200, Darien, CT 06820
BD
CRD#: 23723
Darien, CT
Past

January 3, 2020 - January 11, 2022

PIPER SANDLER & CO.

BD
CRD#: 665
NEW YORK, NY
Past

July 6, 2016 - January 3, 2020

SANDLER, O'NEILL & PARTNERS, L.P.

BD
CRD#: 23328
NEW YORK, NY
Past

September 21, 2004 - July 20, 2016

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

November 29, 2000 - September 21, 2004

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

August 29, 1995 - November 10, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
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
Arizona
(3/18/2024)
RR
California
(1/7/2022)
RR
Colorado
(10/9/2025)
RR
Connecticut
(1/6/2022)
RR
Illinois
(4/13/2023)
RR
Massachusetts
(3/18/2024)
RR
New Jersey
(1/7/2022)
RR
New York
(1/6/2022)
RR
Texas
(5/10/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/2/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BC
BREAN CAPITAL, LLC
BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.

CRD#: 23723 / SEC#: , 8-40742

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

Main Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Mailing Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Phone number
(212) 702-6500
Established
Delaware since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BMUR HOLDINGS, LLCHOLDING COMPANY
HUNT FS HOLDINGS III, LLCHOLDING COMPANY
ALLURED LLCHOLDING COMPANY
LIZINATOR LLCHOLDING COMPANY
BREAN CAPITAL HOLDINGS, LLCHOLDING COMPANY
CORWEN, STEPHEN MILLERHEAD OF MBS/ABS SALES2943061
FINE, ROBERT MICHAELCHIEF EXECUTIVE OFFICER1450313
GUZMAN, JEFFREY MCHIEF COMPLIANCE OFFICER3095123
LAMARSH, JONATHAN ANDREWPRINCIPAL OPERATIONS OFFICER5436335
MACKLIN, JOHN TIMOTHYPRINCIPAL OPERATIONS OFFICER1446800
SARABELLA, ARNOLDCHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER1717059
TIRSCHWELL, ROBERT MOYSEEXECUTIVE MANAGING DIRECTOR2230453

Disclosures

Regulatory Event12

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

BREAN CAPITAL, LLC

CRD#: 23723Darien, CT 06820

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