Bertram T. Blake
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.
Bertram Thorp Blake III, who also goes by Bertram T Blake III, Bertram Thorp Blake, Bertram Timothy Blake III, Tim Blake Iii, Tim Blake, was a registered financial professional .
Bertram is a previously registered financial professional and started their career in finance in 1981. Bertram had worked at 11 firms and has passed the Series 63, SIE 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
March 17, 2015 - June 30, 2016
THE WILLIAMS CAPITAL GROUP, L.P.
July 11, 2012 - February 5, 2015
CASTLEOAK SECURITIES, LP
January 29, 2009 - July 9, 2012
M. R. BEAL & COMPANY
July 24, 2006 - January 21, 2009
GRIGSBY & ASSOCIATES, INC.
May 2, 2005 - May 2, 2006
CORBY CAPITAL MARKETS, INC.
January 3, 2000 - June 2, 2005
JANNEY MONTGOMERY SCOTT LLC
February 27, 1996 - December 21, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1995 - March 8, 1996
RODMAN & RENSHAW INC.
January 5, 1989 - May 12, 1995
TUCKER ANTHONY INCORPORATED
March 19, 1985 - January 9, 1989
PRESCOTT, BALL & TURBEN, INC.
July 20, 1981 - September 7, 1984
BECKER PARIBAS INCORPORATED
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
THE WILLIAMS CAPITAL GROUP, L.P.
CRD#: 35149 / SEC#: , 8-46623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, CHRISTOPHER JUDSON | CHAIRMAN,CEO,LTD PARTNER | 1335377 |
| THE WILLIAMS CAPITAL GROUP, INC. | GENERAL PARTNER | |
| LEVIN, JONATHAN WILLIAM | MANAGING DIRECTOR, LTD PARTNER | 1312315 |
| CALABRISOTTO, DIANNE | LIMITED PARTNER | 1273900 |
| CALABRISOTTO, DIANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1273900 |
| CALABRISOTTO, DIANNE | CCO, CAO | |
| CALABRISOTTO, DIANNE | CHIEF OPERATING OFFICER | 1273900 |
| CARL, STEPHEN JULIUS | SROP, CROP, ASSISTANT VICE PRESIDENT OF THE WILLIAMS CAPITAL GROUP, INC, THE GENERAL PARTNER OF THE WILLIAMS CAPITAL GROUP, L.P. | 1542098 |
| COARD, DAVID ANTHONY | LIMITED PARTNER | 1633685 |
| FINKELSTEIN, DAVID ANDREW | LIMITED PARTNER | 1056495 |
| WO, PATRICK C | CHIEF FINANCIAL OFFICER, FINOP | 1978566 |
Disclosures
| Regulatory Event | 3 |
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.
