David A. Wiseman
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.
David Allan Wiseman, who also goes by Dave Wiseman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1978. David had worked at 11 firms and has passed the Series 63 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
October 5, 1993 - January 9, 2004
BRILL SECURITIES, INC.
October 30, 1991 - July 30, 1993
UBS FINANCIAL SERVICES INC.
September 27, 1991 - November 5, 1991
JOSEPHTHAL & CO., INC.
January 30, 1990 - October 22, 1991
JJC SECURITIES CO., INC.
December 18, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
December 18, 1989 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
December 15, 1987 - December 21, 1989
JANNEY MONTGOMERY SCOTT LLC
September 11, 1986 - February 2, 1988
FINANCIAL SQUARE PARTNERS
August 16, 1983 - September 25, 1986
WACHOVIA SECURITIES, INC.
November 26, 1979 - September 2, 1983
L. F. ROTHSCHILD & CO. INCORPORATED
November 27, 1978 - December 23, 1979
BLYTH EASTMAN DILLON & CO. 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
BRILL SECURITIES, INC.
CRD#: 18565 / SEC#: 801-61275, 8-36654
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
