William H. Browne
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.
William Hetherington Browne was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 4 firms and has passed the Series 7TO, Series 99TO, SIE, Series 1, Series 27 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2014 - June 24, 2024
TWEEDY, BROWNE COMPANY LLC
September 30, 2014 - December 31, 2023
AMG DISTRIBUTORS, INC.
June 5, 1979 - October 6, 2014
TWEEDY, BROWNE COMPANY LLC
January 6, 1977 - August 1, 1978
DREXEL BURNHAM LAMBERT INCORPORATED
October 25, 1974 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
Primary Firm SEC Registration
TWEEDY, BROWNE COMPANY LLC
CRD#: 6857 / SEC#: 801-10669, 8-18316
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 10/21/1974
Registered Representative ExaminationF04
Date: 9/11/1980
Financial Principal ExaminationCurrent Firm
TWEEDY, BROWNE COMPANY LLC
CRD#: 6857 / SEC#: 801-10669, 8-18316
Contact information
SEC notice filing (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMG TBC HOLDINGS, INC. | MEMBER | |
| AMG TBC, LLC | MANAGING MEMBER | |
| SPEARS, JOHN DOUGLAS | MANAGING DIRECTOR | 808685 |
| BROWNE, WILLIAM HETHERINGTON | MANAGING DIRECTOR | 802645 |
| FINN, GLENN CHRISTOPHER | CHIEF OPERATIONS OFFICER | 2718270 |
| ROGERS, PATRICIA ANN | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 2394326 |
| SHRAGER, THOMAS HENRIK | MANAGING DIRECTOR | 2069335 |
| WYCKOFF, ROBERT QUENTIN JR | MANAGING DIRECTOR | 1633652 |
Regulatory assets under management
| Total Number of Accounts | 226 |
| AUM (Assets Under Management) | $ 7,265,030,665 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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