Brian D. Wirtz
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.
Brian Douglas Wirtz, who also goes by Brian D Wirtz, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2010. Brian had worked at 4 firms and has passed the Series 63, Series 79TO, Series 82TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2018 - December 14, 2020
CAPFI PARTNERS LLC
August 8, 2013 - May 10, 2018
CREDIT SUISSE SECURITIES (USA) LLC
July 6, 2011 - July 1, 2013
HARRIS WILLIAMS
September 14, 2010 - May 16, 2011
COWEN AND COMPANY
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 79TO
Date: 10/24/2022
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 10/24/2022
Limited Representative-Private Securities OfferingsCurrent Firm
CAPFI PARTNERS LLC
CRD#: 113795 / SEC#: , 8-53406
Contact information
Disclosures
| Regulatory Event | 3 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| New York | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
| Virginia | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
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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