Talia A. Brandt
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.
Talia Ann Brandt, who also goes by Talia Ann Williams, was a registered financial professional .
Talia is a previously registered financial professional and started their career in finance in 2004. Talia had worked at 8 firms and has passed the Series 66, Series 82TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2019 - April 22, 2022
BROOKLANDS CAPITAL STRATEGIES BD, LP
June 6, 2014 - November 30, 2018
CIRCLEUP
April 24, 2014 - April 3, 2019
FLYING CLOUD SECURITIES LLC
August 6, 2013 - November 1, 2021
WESTHOFF, CONE & HOLMSTEDT
September 1, 2010 - February 3, 2011
VIANT CAPITAL LLC
June 28, 2010 - September 20, 2011
WREN CAPITAL, LLC
October 17, 2007 - June 21, 2013
SANCTUARY SECURITIES LLC
September 30, 2004 - June 28, 2006
GOLDMAN SACHS & CO. 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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BROOKLANDS CAPITAL STRATEGIES BD, LP
CRD#: 281951 / SEC#: , 8-69696
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKLANDS CAPITAL STRATEGIES MANAGEMENT, L.P. | LIMITED PARTNER | |
| BROOKLANDS CAPITAL STRATEGIES (GP), LLC | GENERAL PARTNER | |
| CARROLL, DANIEL ASHTON | MANAGING PARTNER | 1549544 |
| DEMAYO, JILL ELLEN | CHIEF COMPLIANCE OFFICER | 2843305 |
| EKBERG, JEFFERY DAVID | FINOP | 6499537 |
| MCMILLAN, PETER HAMIL | CEO & MANAGING PARTNER | 1148731 |
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.
