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JW

John J. Waller

HOULIHAN LOKEY CAPITAL
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2808469
JW

Professional summary

John Joseph Waller, who also goes by John J Waller, is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 1996. John has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John J 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 Joseph 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

January 15, 2025 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 111 South Wacker Drive 37th Floor, Chicago, IL 60606
BD
CRD#: 17708
Chicago, IL
Past

September 27, 2016 - March 17, 2025

WALLER HELMS SECURITIES LLC

BD
CRD#: 282433
New York, NY
Past

December 1, 2009 - November 20, 2014

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
CHICAGO, IL
Past

September 4, 2007 - December 1, 2009

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
CHICAGO, IL
Past

June 23, 1998 - August 31, 2007

COCHRAN CARONIA WALLER SECURITIES LLC

BD
CRD#: 44824
CHICAGO, IL
Past

November 27, 1996 - April 22, 1997

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

BD
CRD#: 41461
CHICAGO, IL

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
(2/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/10/2012
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/26/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HL
HOULIHAN LOKEY CAPITAL, INC.
HLHZ CAPITAL, A CALIFORNIA LIMITED PARTNERSHIP | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, L.P. | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

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

Main Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Mailing Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Phone number
(310) 553-8871
Established
California since 01/09/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLCDIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPHPRESIDENT/CEO AND DIRECTOR (HLI)2147111
ALLEY, JAMES LINDSEYTREASURER/CHIEF FINANCIAL OFFICER (HLI)2394515
BEISER, SCOTT LEEVICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)2026185
BEN-CANAAN, MARC AVICCO/AMLCO4885345
CRAIN, CHRISTOPHER MADISONSECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEALCHIEF FINANCIAL OFFICER, FINOP4632869
YAMARONE, CHARLES ANTHONY IIICHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI2190400

Disclosures

Regulatory Event2

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

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708Chicago, IL 60606

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