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Brian K. Walker

TRANSAMERICA INVESTORS SECURITIES
Mooresville, NC
Some features on this profile are disabled
CRD#: 1445042
BW

Professional summary

Brian Kent Walker is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Mooresville, North Carolina.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1986. Brian has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Kent Walker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 1, 2019 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
Mooresville, NC
Past

February 25, 2019 - July 1, 2019

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
Mooresville, NC
Past

November 29, 2007 - September 23, 2008

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

May 10, 2007 - February 21, 2019

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
Charlotte, NC
Past

December 1, 1987 - February 21, 2019

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Charlotte, NC
Past

November 12, 1986 - November 9, 1987

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
Past

May 14, 1986 - November 13, 1987

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
Past

January 21, 1986 - May 5, 1986

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(7/1/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/8/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/24/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/12/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TRANSAMERICA INVESTORS SECURITIES, LLC
DIVERSIFIED INVESTORS SECURITIES CORP. | TRANSAMERICA INVESTORS SECURITIES, LLC | TRANSAMERICA INVESTORS SECURITIES CORPORATION

CRD#: 32205 / SEC#: , 8-45671

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
440 Mamaroneck Avenue, Harrison, NY 10528
Mailing Address
440 Mamaroneck Avenue, Harrison, NY 10528
Phone number
(914) 627-3000
Established
Delaware since 12/31/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRANSAMERICA RETIREMENT SOLUTIONS, LLCSHAREHOLDER
CALVI, ENNA MARIAMANAGER, TREASURER, AND FINANCIAL PRINCIPAL2373021
HEWITT, JAY ALLENMANAGER AND VICE PRESIDENT1687429
HOLGATE, GREGG WILLIAMPRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS2818725
POWERS, MARK JUDSONVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6173588

Disclosures

Regulatory Event1

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.

Company Information

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205Mooresville, NC

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