Walter H. Braillard

CLARION PARTNERS SECURITIES

BOSTON, MA 02110

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CRD#: 2290145

Professional summary

Walter Howell Braillard III, who also goes by Tripp Braillard, Walter H Braillard III, is a registered financial professional currently at CLARION PARTNERS SECURITIES, LLC located in Boston, Massachusetts and FRANKLIN DISTRIBUTORS, LLC located in Boston, Massachusetts.

Walter is registered as a RR (Registered Representative) and started their career in finance in 1992. Walter has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tripp Braillard | Walter H Braillard Iii

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 Walter Howell Braillard III'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 9, 2022 - Present

CLARION PARTNERS SECURITIES, LLC

Office #1: 101 Arch Street 17th Floor, Boston, MA 02110

CRD#: 166384

BOSTON, MA

Current

November 3, 2022 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 101 Arch Street 17th Floor, Boston, MA 02110

CRD#: 109064

Boston, MA

Past

September 20, 2019 - June 8, 2022

HEITMAN SECURITIES LLC

CRD#: 13620

CHICAGO, IL

Past

August 24, 2017 - August 15, 2019

PIMCO INVESTMENTS LLC

CRD#: 154957

NEWPORT BEACH, CA

Past

May 23, 2006 - July 11, 2007

MELLON FUNDS DISTRIBUTOR, L.P.

CRD#: 39414

BOSTON, MA

Past

May 23, 2006 - August 23, 2017

BNY MELLON SECURITIES CORPORATION

CRD#: 231

BOSTON, MA

Past

March 17, 1993 - April 21, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

November 24, 1992 - February 4, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

November 24, 1992 - February 4, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

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

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

Alabama
(11/3/2022)

Alaska
(11/3/2022)

Arizona
(11/3/2022)

Arkansas
(11/3/2022)

California
(11/3/2022)

Colorado
(11/3/2022)

Connecticut
(11/3/2022)

Delaware
(11/3/2022)

District of Columbia
(11/3/2022)

Florida
(11/3/2022)

Georgia
(11/3/2022)

Hawaii
(11/3/2022)

Idaho
(11/3/2022)

Illinois
(11/3/2022)

Indiana
(11/3/2022)

Iowa
(11/3/2022)

Kansas
(11/3/2022)

Kentucky
(11/3/2022)

Louisiana
(11/3/2022)

Maine
(11/3/2022)

Maryland
(11/3/2022)

Massachusetts
(6/9/2022)

Michigan
(11/3/2022)

Minnesota
(11/3/2022)

Mississippi
(11/3/2022)

Missouri
(11/3/2022)

Montana
(11/3/2022)

Nebraska
(11/3/2022)

Nevada
(10/4/2024)

New Hampshire
(11/3/2022)

New Jersey
(11/3/2022)

New Mexico
(11/3/2022)

New York
(11/3/2022)

North Carolina
(10/4/2024)

North Dakota
(11/3/2022)

Ohio
(11/3/2022)

Oklahoma
(11/3/2022)

Oregon
(11/3/2022)

Pennsylvania
(11/3/2022)

Puerto Rico
(11/3/2022)

Rhode Island
(11/3/2022)

South Carolina
(11/3/2022)

South Dakota
(11/3/2022)

Tennessee
(11/3/2022)

Texas
(11/3/2022)

Utah
(11/3/2022)

Vermont
(11/3/2022)

Virgin Islands
(10/4/2024)

Virginia
(11/3/2022)

Washington
(11/3/2022)

West Virginia
(11/3/2022)

Wisconsin
(11/3/2022)

Wyoming
(11/3/2022)

Exams

State Security Law Exam

Series 63

Date: 12/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/21/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/23/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/19/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/22/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546
SPECTOR, ADAM BENJAMIN	CHIEF EXECUTIVE OFFICER	2270713

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Walter H. Braillard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Walter Howell Braillard III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

HEITMAN SECURITIES LLC

PIMCO INVESTMENTS LLC

MELLON FUNDS DISTRIBUTOR, L.P.

BNY MELLON SECURITIES CORPORATION

FIDELITY BROKERAGE SERVICES LLC

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/4/1992

SIE

Date: 10/1/2018

Series 3

Date: 12/21/2012

Series 7

Date: 7/23/1993

Series 6

Date: 11/19/1992

Series 24

Date: 4/22/2009

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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