William F. Branston
Professional summary
William Francis Branston was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, William had worked at 3 firms, which includes HAMBRECHT & QUIST LLC, KIDDER PEABODY & CO. INCORPORATED, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1985 - April 14, 1986
HAMBRECHT & QUIST LLC
September 15, 1982 - December 28, 1984
KIDDER, PEABODY & CO. INCORPORATED
July 27, 1979 - September 22, 1982
LEHMAN BROTHERS INC.
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
HAMBRECHT & QUIST LLC
CRD#: 940 / SEC#: , 8-29123
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| H&Q CALIFORNIA (A CALIFORNIA CORPORATION) | LLC MEMBER | |
| AARON, STEVEN ROSS | DIRECTOR OF COMPLIANCE | 1298072 |
| ALLEN, PATRICK JOSEPH | CHIEF FINANCIAL OFFICER | 2036949 |
| BAKAR, TODD DAVID | MANAGING DIRECTOR, DIRECTOR OF RESEARCH | 1724555 |
| CASE, DANIEL HIBBARD III | CHAIRMAN, CEO | 1076482 |
| GOLDEN, DAVID G | MANAGING DIRECTOR, INVESTMENT BANKING | 1818452 |
| H&Q B/D SUBSIDIARY CORPORATION | LLC MEMBER | |
| HULLAR, JOHN PAUL | MANAGING DIRECTOR, DIRECTOR OF WORLDWIDE SALES | 711679 |
| MACHTINGER, STEVEN NEIL | MANAGING DIRECTOR, GENERAL COUNSEL & SECRETARY | 1141460 |
| MCAULIFFE, DAVID MATTHEW | CHIEF OPERATING OFFICER | 873286 |
| MORGAN, CRISTINA MARIA | MANAGING DIRECTOR, INVESTMENT BANKING | 1108185 |
| PATTERSON, GARY ROBERT | MANAGING DIRECTOR, EXECUTIVE FINANCIAL SERVICES | 1247193 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 2 |
Red Flags
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