Bradley H. Waller
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.
Bradley Harold Waller was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1987. Bradley had worked at 10 firms and has passed the Series 63, Series 65, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2011 - February 15, 2012
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
July 27, 2007 - December 31, 2008
USI ADVISORS
August 17, 2005 - December 31, 2008
USI SECURITIES, INC.
August 15, 2005 - December 31, 2008
USI SECURITIES, INC.
June 25, 2003 - July 13, 2005
OSAIC WEALTH, INC.
June 20, 2003 - July 13, 2005
OSAIC WEALTH, INC.
June 19, 2002 - August 23, 2004
CAPITAL INVESTMENT SERVICES, INC.
August 17, 2000 - May 5, 2003
OSAIC WEALTH, INC.
August 16, 1989 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 16, 1989 - August 30, 2000
EQUITABLE ADVISORS, LLC
February 14, 1989 - August 25, 1989
TRIVE NEW YORK LLC
July 11, 1988 - October 20, 1988
MF GLOBAL INC.
May 21, 1987 - July 19, 1988
BRANDYWINE SECURITIES, 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
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 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.
