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BW

Brian G. Walls

BRIDGE ALTERNATIVES SECURITIES.
Lake Forest, IL 60045
Some features on this profile are disabled
CRD#: 1587292
BW

Professional summary

Brian Gerard Walls is a registered financial professional currently at BRIDGE ALTERNATIVES SECURITIES, LLC. located in Lake Forest, Illinois.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1987. Brian has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 82TO, SIE, Series 3, Series 7, Series 24 and Series 4 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 Gerard Walls'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

June 19, 2019 - Present

BRIDGE ALTERNATIVES SECURITIES, LLC.

Office #1: 840 S. Waukegan Road, Suite 202, Lake Forest, IL 60045
BD
CRD#: 298625
Lake Forest, IL
Past

September 18, 2018 - December 10, 2018

FORIS CAPITAL US LLC

BD
CRD#: 282331
Chicago, IL
Past

March 1, 2016 - December 17, 2017

LIQUID CAPITAL SECURITIES, LLC

BD
CRD#: 148758
EVANSTON, IL
Past

October 3, 2014 - January 8, 2015

MAREX CAPITAL MARKETS INC.

BD
CRD#: 161014
Chicago, IL
Past

January 2, 2008 - April 2, 2014

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

August 1, 1997 - September 1, 2008

NEWEDGE FINANCIAL INC.

BD
CRD#: 27322
CHICAGO, IL
Past

March 7, 1990 - August 1, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 22, 1987 - February 9, 1990

YAMAICHI INTERNATIONAL (AMERICA) INC.

BD
CRD#: 909
NEW YORK, NY
Past

January 21, 1987 - August 6, 1987

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967

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
California
(1/25/2021)
RR
Connecticut
(1/25/2021)
RR
Illinois
(8/9/2019)
RR
Kentucky
(1/25/2021)
RR
Massachusetts
(2/5/2021)
RR
New York
(10/24/2019)
RR
Texas
(12/10/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/8/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/7/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 4/5/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/15/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/25/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/3/1989
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BA
BRIDGE ALTERNATIVES SECURITIES, LLC.
BRIDGE ALTERNATIVES SECURITIES, LLC | BRIDGE ALTERNATIVES SECURITIES, LLC.

CRD#: 298625 / SEC#: , 8-70213

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

Main Address
840 S. Waukegan Road, Suite 202, Lake Forest, IL 60045
Mailing Address
840 S. Waukegan Road, Suite 202, Lake Forest, IL 60045
Phone number
(773) 446-5680
Established
Delaware since 08/09/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 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#
DUNCAN, RYAN MURPHYCEO/OWNER4548906
JONES, SHARON DOSTERFINOP, PFO3124470
KENNEDY, MICHAEL DAVIDCHIEF COMPLIANCE OFFICER2461112

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

BRIDGE ALTERNATIVES SECURITIES, LLC.

CRD#: 298625Lake Forest, IL 60045

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