Brendan J. Wiseman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brendan James Wiseman, who also goes by Brendon James Wiseman, was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2001. Brendan had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2012 - January 31, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
November 18, 2011 - February 28, 2012
NEW ENGLAND SECURITIES
August 2, 2007 - May 17, 2010
NATIONAL PLANNING CORPORATION
September 11, 2006 - August 6, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
August 31, 2004 - September 1, 2006
CETERA ADVISORS LLC
August 31, 2004 - September 1, 2006
VOYA FINANCIAL ADVISORS, INC.
August 1, 2003 - September 1, 2006
CETERA WEALTH SERVICES, LLC
October 5, 2001 - June 4, 2003
SCHONFELD SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 10/16/2001
Limited Representative-Equity Trader ExamCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
