Walter L. Hall
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.
Walter Lawrence Hall JR, who also goes by Wally Hall, Walter Wally, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1986. Walter had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 8 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
August 18, 2020 - December 3, 2021
INDEPENDENT FINANCIAL GROUP, LLC
October 21, 2008 - March 19, 2019
RBC CAPITAL MARKETS, LLC
September 22, 2008 - November 5, 2008
BARCLAYS CAPITAL INC.
December 6, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
December 8, 2003 - October 19, 2005
NOMURA SECURITIES INTERNATIONAL, INC.
January 3, 2003 - December 9, 2003
OPPENHEIMER & CO. INC.
April 13, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
March 6, 1998 - April 20, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 28, 1991 - January 9, 1998
SANWA UNIVERSAL SECURITIES CO., LLC
April 10, 1990 - January 9, 1998
SANWA SECURITIES (USA) CO., L.P.
April 15, 1989 - March 22, 1990
PACIFIC SECURITIES, INC.
January 14, 1988 - March 6, 1989
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
May 21, 1986 - October 31, 1988
WESTPAC POLLOCK & CO. INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
Series 8
Date: 9/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
