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JW

John L. Waller

PRAIRIE CAPITAL MARKETS
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 2194664
JW

Professional summary

John Lyndon Waller, who also goes by John Waller, is a registered financial professional currently at PRAIRIE CAPITAL MARKETS, LLC located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 1991. John has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Waller

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 John Lyndon Waller's 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

November 29, 2022 - Present

PRAIRIE CAPITAL MARKETS, LLC

Office #1: 71 S. Wacker Dr. Suite 675, Chicago, IL 60654
BD
CRD#: 158309
Chicago, IL
Past

December 6, 2007 - November 17, 2010

PETRIE PARTNERS SECURITIES, LLC

BD
CRD#: 131783
DENVER, CO
Past

June 14, 2005 - September 12, 2006

PACIFIC ADVISORY GROUP OF AMERICA, LLC

BD
CRD#: 116555
LOS ANGELES, CA
Past

February 19, 2004 - June 14, 2005

SF INVESTMENTS, INC.

BD
CRD#: 6564
HIGHLAND PARK, IL
Past

April 16, 1997 - January 26, 2004

LINCOLN INTERNATIONAL LLC

BD
CRD#: 42045
CHICAGO, IL
Past

December 23, 1991 - February 2, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
Illinois
(1/9/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/9/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/29/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/8/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/23/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PRAIRIE CAPITAL MARKETS, LLC
PRAIRIE | PRAIRIE CAPITAL MARKETS, LLC

CRD#: 158309 / SEC#: , 8-68889

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

Main Address
One Lincoln Centre 18w140 Butterfield Road Suite 800, Oakbrook Terrace, IL, 60181
Mailing Address
One Lincoln Centre 18w140 Butterfield Road Suite 800, Oakbrook Terrace, IL, 60181
Phone number
(630) 443-9933
Established
Illinois since 07/01/2010
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PRAIRIE CAPITAL HOLDINGS, INC.MEMBER
BEATON, DANIEL STEWARTCFO, FINOP4240769
WITT, TIMOTHY WYNDHAMCCO, HOME OFFICE SUPER., AML SUPER5952315

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

PRAIRIE CAPITAL MARKETS, LLC

CRD#: 158309Chicago, IL 60654

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