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BH

Burgess N. Hallums

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CRD#: 1619983
BH

Professional summary

Burgess Nathaniel Hallums was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Burgess is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Burgess had worked at 12 firms, which includes CHU WAYNE OR STANFORD GLOBAL CAPITAL, FORTUNE SECURITIES INC., THOMASLLOYD CAPITAL LLC, CAMBRIDGE INVESTMENT RESEARCH INC., RMC CAPITAL MANAGEMENT INC., PIM FINANCIAL SERVICES INC., USA FINANCIAL GROUP INC., NEWPORTFOLIOS SECURITIES CORPORATION, VANGUARD CAPITAL, WHITEHALL INVESTMENT SECURITIES LTD., GLOBALVEST SECURITIES (USA) INC, PACIFIC COAST EQUITIES INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 5, 2003 - November 17, 2010

CHU, WAYNE OR STANFORD GLOBAL CAPITAL

RIA
CRD#: 127830
SAN DIEGO, CA
Past

January 15, 2003 - October 21, 2011

FORTUNE SECURITIES, INC.

BD
CRD#: 40821
ALHAMBRA, CA
Past

June 14, 2000 - December 31, 2001

THOMASLLOYD CAPITAL LLC

BD
CRD#: 38784
PLEASANTVILLE, NY
Past

September 16, 1997 - May 2, 2000

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FAIRFIELD, IA
Past

February 28, 1997 - December 31, 2012

RMC CAPITAL MANAGEMENT, INC.

RIA
CRD#: 119204
RAMONA, CA
Past

December 18, 1990 - September 16, 1997

PIM FINANCIAL SERVICES, INC.

BD
CRD#: 10547
SAN MARCOS, CA
Past

August 28, 1990 - April 19, 1991

USA FINANCIAL GROUP, INC.

BD
CRD#: 17819
Past

February 9, 1990 - September 4, 1990

NEWPORTFOLIOS SECURITIES CORPORATION

BD
CRD#: 19349
Past

June 17, 1989 - May 15, 1990

VANGUARD CAPITAL

BD
CRD#: 22081
DEL MAR, CA
Past

March 1, 1989 - August 28, 1989

WHITEHALL INVESTMENT SECURITIES, LTD.

BD
CRD#: 21312
Past

November 29, 1988 - February 22, 1989

GLOBALVEST SECURITIES, (USA), INC

BD
CRD#: 15458
Past

March 25, 1987 - July 12, 1988

PACIFIC COAST EQUITIES, INC.

BD
CRD#: 14992

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/21/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/1989
General Securities Principal Examination

Current Firm

CW
CHU, WAYNE OR STANFORD GLOBAL CAPITAL
CHU, WAYNE OR STANFORD GLOBAL CAPITAL | STANFORD GLOBAL CAPITAL LLC

CRD#: 127830 / SEC#:

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Contact information

Main Address
San Diego, CA
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CHU, WAYNE OR STANFORD GLOBAL CAPITAL

CRD#: 127830

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