Chris M. 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.
Chris Michael Wiseman was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 2002. Chris had worked at 10 firms and has passed the Series 63 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
August 30, 2012 - August 2, 2013
SW FINANCIAL
February 19, 2008 - August 22, 2012
ROCKWELL GLOBAL CAPITAL LLC
May 3, 2006 - February 14, 2008
PAULSON INVESTMENT COMPANY LLC
February 23, 2006 - May 15, 2006
NATIONAL SECURITIES CORPORATION
February 10, 2005 - October 25, 2005
HEROLD & LANTERN INVESTMENTS, INC.
August 27, 2003 - February 11, 2005
GUNNALLEN FINANCIAL, INC
December 19, 2002 - September 12, 2003
BENCHMARK SECURITIES GROUP, INC.
October 23, 2002 - January 9, 2003
MAXIM GROUP LLC
August 21, 2002 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
May 2, 2002 - August 21, 2002
HARRISON SECURITIES, INC.
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
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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