Ward B. Maillian
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.
Ward Brian Maillian was a registered financial professional .
Ward is a previously registered financial professional and started their career in finance in 1977. Ward had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2014 - July 20, 2016
BONWICK CAPITAL PARTNERS, LLC
October 5, 2004 - June 16, 2017
RIDEAU LYONS & CO.
December 9, 1996 - January 24, 2003
WHITESTONE CAPITAL MARKETS, L.P.
May 20, 1996 - May 29, 2002
RIDEAU LYONS & CO.
January 4, 1994 - September 12, 1995
RIDEAU LYONS & CO.
June 1, 1989 - August 20, 1993
NATWEST MARKETS SECURITIES INC.
March 16, 1989 - March 31, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
September 4, 1981 - March 7, 1988
CREDIT SUISSE SECURITIES (USA) LLC
December 5, 1977 - September 14, 1981
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationCurrent Firm
BONWICK CAPITAL PARTNERS, LLC
CRD#: 156469 / SEC#: , 8-68796
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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