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Willis K. Bramwell

Some features on this profile are disabled
CRD#: 600387
WB

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.

Willis Kelner Bramwell was a registered financial professional .

Willis is a previously registered financial professional and started their career in finance in 1971. Willis had worked at 4 firms and has passed the Series 00 exam.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 30, 1989 - August 27, 1997

AEGON USA SECURITIES INC.

BD
CRD#: 13302
CEDAR RAPIDS, IA
Past

October 21, 1985 - April 28, 1989

PERPETUAL INVESTMENT ASSOCIATES

BD
CRD#: 13593
Past

December 12, 1975 - October 15, 1985

SECURITIES CORPORATION OF IOWA

BD
CRD#: 6945
Past

July 7, 1975 - December 12, 1975

BRANWELL CHANDLER JOHNSON & COMPANY

BD
CRD#: 1000003
Past

April 6, 1971 - July 7, 1975

SECURITIES CORPORATION OF IOWA

BD
CRD#: 6945

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 00
Date: 3/10/1971
General Securities Principal Examination

Current Firm

AU
AEGON USA SECURITIES INC.
AEGON USA SECURITIES INC. | MIDAMERICA MANAGEMENT CORPORATION | LIFE INVESTORS MANAGEMENT CORPORATION | AEGON USA SECURITIES, INC.

CRD#: 13302 / SEC#: , 8-9158

BD
Terminated by SEC on 08/01/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 11/23/1959
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

AEGON USA SECURITIES INC.

CRD#: 13302

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