&PARTNERS of NASHVILLE, TN is an SEC-registered investment adviser (CRD 3767). Regulatory assets under management: $30.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance, Commissions, Subscription, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, Other.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| James H Powell | VICE-PRESIDENT,SEC/TREASURER | Austin, TX |
| James Powell | VICE-PRESIDENT,SEC/TREASURER | Phoenix, AZ |
| Nelson Scott | CFO | Las Vegas, NV |
| James C Powell | VICE-PRESIDENT,SEC/TREASURER | Dripping Springs, TX |
| David Warren Iii Wiley Iii | CO-PRESIDENT | — |
| Alyson Mencio Stevens | CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS | — |
| Kaley Porter Idol | CHIEF COMPLIANCE OFFICER | — |
| Chyrlan Elizabeth Cooper | COO | — |
| Richard Scott Nelson | CFO | — |
| John W Alexander | CO-PRESIDENT | — |
| David John Kowach | CEO | — |
| Michael Christopher Schaller | CONTROLLER/FINOP | — |
| WILEY DAVID WARREN JR | CHAIRMAN; SHAREHOLDER; SHRHLDR,CHMN,PRES. | — |
| WILEY DAVID WARREN III | CO-PRESIDENT; DIRECTOR, CHARIMAN, PRESIDENT; PRESIDENT (+1 more) | — |
| PATTERSON DAVID GRIFFIN | VICE CHAIRMAN | — |
| ALLASTER JERRI DARLENE | COMPLIANCE DIRECTOR; COMPLIANCE DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| WILEY DAVID WARREN | SHRHLDR,CHMN,PRES. | — |
| ALEXANDER JOHN W | CO-PRESIDENT | — |
| PATTERSON DAVID GRIFFIN JR | VICE CHAIRMAN | — |
| MARKHAM VICKI G | CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES | — |
| SANFORD CARRI M | CHIEF COMPLIANCE OFFICER ADVISORY BUSINESS | — |
| KOWACH DAVID JOHN | CEO | — |
| COOK BRIGITTE HADEN WILEY | CHIEF COMPLIANCE OFFICER, BROKERAGE ACTIVITIES | — |
| STEVENS ALYSON MENCIO | CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS; CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS, SECRETARY | — |
| IDOL KALEY PORTER | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER BD BUSINESS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-09-29 | regulatory | WILEY BROS.-AINTREE CAPITAL (WBAC) FAILED TO TIMELY REPORT TO THE NORTH CAROLINA DEPARTMENT OF INSURANCE TWO FINRA ADMINISTRATIVE PENALTIES IMPOSED ON WBAC, ONE IN 2010 AND ONE IN 2015. WBAC INACCURATELY MARKED "NO" ON THE NORTH CAROLINA LICENSE RENEWAL APPLICATION FOR THE YEARS 2012 THROUGH 2016 RE… | Final | $1K |
| 2016-08-16 | regulatory | ADVISER FAILED TO TIMELY REPORT TO THE OHIO DEPARTMENT OF INSURANCE TWO FINRA ADMINISTRATIVE PENALTIES IMPOSED ON ADVISER, ONE IN 2010 AND ONE IN 2015. ON NOVEMBER 24, 2004, ADVISER INACCURATELY MARKED "NO" WHEN ASKED IF IT HAD BEEN INVOLVED IN AN ADMINISTRATIVE ACTION AND IN 2012, 2013, AND 2015, A… | Final | $400 |
| 2016-08-16 | regulatory | APPLICANT FAILED TO TIMELY REPORT TO THE OHIO DEPARTMENT OF INSURANCE TWO FINRA ADMINISTRATIVE PENALTIES IMPOSED ON APPLICANT, ONE IN 2010 AND ONE IN 2015. ON NOVEMBER 24, 2004, APPLICANT INACCURATELY MARKED "NO" WHEN ASKED IF IT HAD BEEN INVOLVED IN AN ADMINISTRATIVE ACTION AND IN 2012, 2013 AND 20… | Final | $400 |
| 2015-09-24 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND ADEQUATE WRITTEN SUPERVISORY CONTROL PROCEDURES REASONABLY DESIGNED TO REVIEW AND MONITOR THE TRANSMITTALS OF FUNDS F… | Final | $35K |
| 2010-11-09 | regulatory | MSRB RULE G-14 WILEY BROS-AINTREE CAPITAL, LLC FAILED TO REPORT INFORMATION REGARDING PURCHASE AND SALE TRANSACTIONS EFFECTED IN MUNICIPAL SECURITIES TO THE REAL-TIME TRANSACTION REPORTING SYSTEM (RTRS) IN THE MANNER PRESCRIBED BY RULE G-14 RTRS PROCEDURES AND THE RTRS USERS MANUAL; THE FIRM FAILED… | Final | $8K |
| — | regulatory | — | — | — |