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Brayton Key Williams

CRD# 6022575·Registered 2012 - 2012
Previously Registered: Being a previously registered professional could mean that Brayton 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.

Professional Summary

Brayton Key Williams was a registered financial advisor. Brayton was a previously registered financial professional and started their career in finance 2012 - 2012. Brayton had worked at 1 firm and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

14 years in the financial services industry

Current & Past Employments

COINBASE SECURITIES, INC.·CRD# 151143
BD
New York, NY
March 19, 2012 - June 28, 2012

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Current Firm

CS
COINBASE SECURITIES, INC.

COINBASE SECURITIES | XPERT SECURITIES, INC. | XATS, INC. | VENOVATE MARKETPLACE, INC. | OPEN MARKET, INC. | COINBASE SECURITIES, INC.

CRD#: 151143 / SEC#: 8-68337
BD
Terminated by SEC on 01/08/2024

Contact Information

Established

Delaware since 03/19/2009

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
COINBASE GLOBAL, INC.DIRECT OWNER—
COMPA, GREGORYCHIEF COMPLIANCE OFFICER5324133
COOK, KATHERINE RENEEEXECUTIVE PRINCIPAL3076337
FELDMAN, RICHARD MARKFINANCIAL OPERATIONS PRINCIPAL, POO2273453
TUSAR, GREGORY ALEXANDERCEO2426485

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2012About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 2012About the Series 7 exam

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CRS (Client Relationship Summary)

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

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