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BH

Brady S. Halper

FALCON SQUARE CAPITAL
Brigantine, NJ
Some features on this profile are disabled
CRD#: 2402567
BH

Professional summary

Brady Seth Halper is a registered financial professional currently at FALCON SQUARE CAPITAL, LLC located in Brigantine, New Jersey.

Brady is registered as a RR (Registered Representative) and started their career in finance in 1993. Brady has worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 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 Brady Seth Halper'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

January 16, 2015 - Present

FALCON SQUARE CAPITAL, LLC

Office #2: 3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
BD
CRD#: 165225
Brigantine, NJ
Past

November 8, 2010 - November 12, 2014

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

December 15, 2008 - October 28, 2010

JAVELIN SECURITIES, LLC

BD
CRD#: 107473
NEW YORK, NY
Past

April 19, 2007 - December 1, 2008

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

February 14, 2006 - March 16, 2007

JAVELIN SECURITIES, LLC

BD
CRD#: 107473
NEW YORK, NY
Past

February 7, 2005 - February 2, 2006

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

January 5, 2005 - January 31, 2006

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

July 28, 2003 - October 7, 2004

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

October 19, 2001 - January 18, 2002

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

April 30, 1997 - August 17, 2001

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

January 16, 1997 - April 9, 1997

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

October 9, 1996 - January 20, 1997

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

July 9, 1996 - September 3, 1996

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

February 14, 1994 - July 25, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 13, 1993 - March 8, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
New Jersey
(12/9/2019)
RR
New York
(1/16/2015)
RR
North Carolina
(1/16/2015)
RR
Ohio
(1/16/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 3/28/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/3/2014
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/12/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/13/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FALCON SQUARE CAPITAL, LLC
FALCON SQUARE CAPITAL, LLC | HCG

CRD#: 165225 / SEC#: , 8-69147

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

Main Address
3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
Mailing Address
3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
Phone number
(919) 825-1534
Established
North Carolina since 04/02/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PENDERGRASS, MELISSA JOINESCEO, CFO, CCO5392765
CUNNINGHAM, SCOTT LINDSAYMEMBER4829676
WALL, BRAXTON CRAVENMEMBER5557276
WRIGHT, KEATON THOMASMEMBER5703087
PORTWOOD, WILLIAM BOYCEFINOP4853700

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

FALCON SQUARE CAPITAL, LLC

CRD#: 165225Brigantine, NJ

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