Brian D. Walker

SVL INVESTMENT MANAGEMENT

Placentia, CA 92870

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CRD#: 2892426

Professional summary

Brian David Walker is a registered financial advisor currently at SVL INVESTMENT MANAGEMENT located in Placentia, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Brian has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

VARIOUS INSURANCE CARRIERS POSITION: Former Agent NATURE: 7Insurance sales - residuals onlyCrump LifeMFS/Sun Life of America INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/01/1999 ADDRESS: 347 Magnolia Ave, Brea CA 92821, United States DESCRIPTION: Only trailer commissions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Walker'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

April 10, 2024 - Present

SVL INVESTMENT MANAGEMENT

Office #1: 1620 N. Placentia Ave. Suite 100, Placentia, CA 92870

RIA

CRD#: 135098

Placentia, CA

Past

July 1, 2002 - March 14, 2024

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

HUNTINGTON BEACH, CA

Past

July 28, 1997 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/24/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SVL INVESTMENT MANAGEMENT

SVL HOLDING CORPORATION | SVL INVESTMENT MANAGEMENT

CRD#: 135098 / SEC#: 801-67395

RIA

Registered Investment Advisory firm - (7/19/2012 Terminated)

California

Registered Investment Advisory firm - (4/30/2012 Approved)

Texas

Registered Investment Advisory firm - (3/9/2023 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1620 N. Placentia Ave. Suite 100, Placentia, CA 92870

Mailing Address

Phone number

(714) 986-2222

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	169
AUM (Assets Under Management)	$ 31,527,559

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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Brian D. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

SVL INVESTMENT MANAGEMENT

THRIVENT INVESTMENT MANAGEMENT INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/1997

SIE

Date: 10/1/2018

Series 6

Date: 6/24/1997

Current Firm

SVL INVESTMENT MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SVL INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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