Brian A. Williams

CARL MARKS SECURITIES LLC

NEW YORK, NY 10022

Some features on this profile are disabled

CRD#: 4005316

Professional summary

Brian Andrew Williams is a registered financial professional currently at CARL MARKS SECURITIES LLC located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 62 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Brian Andrew Williams'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 20, 2017 - Present

CARL MARKS SECURITIES LLC

Office #1: 900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022

CRD#: 144209

NEW YORK, NY

Past

August 31, 2009 - April 11, 2012

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

HOUSTON, TX

Past

February 26, 2008 - August 31, 2009

TRISTONE CAPITAL CO.

CRD#: 145124

HOUSTON, TX

Past

October 26, 2007 - April 7, 2008

TRISTONE CAPITAL (U.S.A.) INC.

CRD#: 119223

HOUSTON, TX

Past

December 23, 1999 - October 29, 2007

SIMMONS & COMPANY INTERNATIONAL

CRD#: 23974

HOUSTON, TX

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

Alabama
(4/19/2021)

California
(5/2/2017)

Colorado
(5/2/2017)

Connecticut
(5/2/2017)

Delaware
(5/2/2017)

District of Columbia
(5/2/2017)

Florida
(5/2/2017)

Georgia
(5/2/2017)

Illinois
(5/2/2017)

Kansas
(5/2/2017)

Maryland
(5/2/2017)

Massachusetts
(5/2/2017)

Michigan
(5/2/2017)

Minnesota
(5/2/2017)

Mississippi
(1/30/2018)

New Jersey
(5/2/2017)

New York
(4/28/2017)

North Carolina
(5/2/2017)

Ohio
(5/2/2017)

Oklahoma
(5/2/2017)

Pennsylvania
(5/2/2017)

Texas
(5/2/2017)

Virginia
(5/2/2017)

Exams

State Security Law Exam

Series 63

Date: 4/28/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 1/20/2017

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 62

Date: 12/22/1999

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CARL MARKS SECURITIES LLC

CARL MARKS SECURITIES LLC | CARL MARKS SECURITIES, LLC

CRD#: 144209 / SEC#: , 8-67642

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022

Mailing Address

900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022

Phone number

(212) 909-8400

Established

New York since 05/25/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CARL MARKS ADVISORY GROUP LLC	MEMBER
CLASTER, MARK LEE	PRESIDENT	721112
ROBERTS, JON HAROLD JR.	CHIEF COMPLIANCE OFFICER	5229666
SPEER, ROBERT ALAN	CFO, FINOP	4519468
TOMASKOVIC, EVAN MICHAEL	CEO	3262911

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian A. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Andrew Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

MACQUARIE CAPITAL (USA) INC.

TRISTONE CAPITAL CO.

TRISTONE CAPITAL (U.S.A.) INC.

SIMMONS & COMPANY INTERNATIONAL

State Registrations and Notice Filings

Exams

Series 63

Date: 4/28/2017

SIE

Date: 10/1/2018

Series 79

Date: 1/20/2017

Series 62

Date: 12/22/1999

Series 24

Date: 10/25/2005

FINRA

Current Firm

CARL MARKS SECURITIES LLC

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CARL MARKS SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors