Maurice D. Wise

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CRD#: 737189

Professional summary

Maurice Dana Wise was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Maurice is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Maurice had worked at 12 firms, which includes PRESTON LANGLEY ASSET MANAGEMENT INC., SCHNEIDER SECURITIES INC., U.S. SECURITIES CLEARING CORP., FIRST CHOICE SECURITIES CORP., PATTERSON TRAVIS INC., R.B. MARICH INC., MARSHALL DAVIS INC., POWER SECURITIES CORPORATION, ADVENT SECURITIES INC., PROFESSIONAL BROKERAGE SERVICES INC., J. W. GANT & ASSOCIATES INC., SECO SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

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

June 2, 1995 - September 3, 1998

PRESTON LANGLEY ASSET MANAGEMENT, INC.

CRD#: 35733

NEW YORK, NY

Past

April 14, 1993 - April 4, 1995

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

September 15, 1992 - April 21, 1993

U.S. SECURITIES CLEARING CORP.

CRD#: 15403

SAN DIEGO, CA

Past

May 18, 1991 - March 4, 1992

FIRST CHOICE SECURITIES CORP.

CRD#: 17021

Past

March 11, 1991 - June 4, 1991

PATTERSON TRAVIS, INC.

CRD#: 16540

ENGLEWOOD, CO

Past

August 30, 1990 - October 24, 1990

R.B. MARICH, INC.

CRD#: 13227

Past

September 15, 1989 - November 29, 1989

MARSHALL DAVIS, INC.

CRD#: 16278

Past

May 9, 1988 - July 10, 1989

POWER SECURITIES CORPORATION

CRD#: 15527

Past

November 9, 1987 - March 7, 1988

ADVENT SECURITIES, INC.

CRD#: 16499

Past

August 20, 1987 - April 9, 1988

PROFESSIONAL BROKERAGE SERVICES INC.

CRD#: 7998

Past

June 29, 1987 - September 2, 1987

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

April 16, 1986 - July 10, 1989

POWER SECURITIES CORPORATION

CRD#: 15527

Past

November 23, 1981 - January 8, 1986

SECO SECURITIES, INC.

CRD#: 5363

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

State Security Law Exam

Series 63

Date: 7/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/8/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 6/23/1982

Financial and Operations Principal Examination

Current Firm

PRESTON LANGLEY ASSET MANAGEMENT, INC.

LEXINGTON CAPITAL CORPORATION | PRESTON LANGLEY ASSET MANAGEMENT, INC. | MARLOWE & COMPANY

CRD#: 35733 / SEC#: , 8-47013

Terminated by SEC on 05/11/2001

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Contact information

Main Address

Mailing Address

Phone number

Established

Nevada since 04/26/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
MARLOWE HOLDINGS	OWNER
LAZARUS, JEFFREY BENNETT	HEAD TRADER, VICE PRESIDENT	2800318
LISNOFF, ROBERT WILLIAM JR	PRESIDENT,C.E.O.,CROP,ROP,COO ,GOV	1980123

Disclosures

Regulatory Event	7
Arbitration	16

Red Flags

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Firm Stability Insights

Maurice D. Wise

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SCHNEIDER SECURITIES, INC.

U.S. SECURITIES CLEARING CORP.

FIRST CHOICE SECURITIES CORP.

PATTERSON TRAVIS, INC.

R.B. MARICH, INC.

MARSHALL DAVIS, INC.

POWER SECURITIES CORPORATION

ADVENT SECURITIES, INC.

PROFESSIONAL BROKERAGE SERVICES INC.

J. W. GANT & ASSOCIATES, INC.

POWER SECURITIES CORPORATION

SECO SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/7/1995

Series 7

Date: 11/21/1981

Series 24

Date: 8/8/1994

Series 27

Date: 6/23/1982

Current Firm

PRESTON LANGLEY ASSET MANAGEMENT, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PRESTON LANGLEY ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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