Walter Scott Liptak
Professional Summary
Walter Scott Liptak, who also goes by Walter S Liptak, is a registered financial advisor currently at SEAPORT GLOBAL SECURITIES LLC located in Chicago, Illinois. Walter is registered as a RR (Registered Representative) and started their career in finance in 1998. Walter has worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Walter S Liptak
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Current Firm
PERICLES CAPITAL | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC
Contact Information
Main Address
360 Madison Ave 22nd Floor, New York, NY 10017Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017Phone Number
(212) 616-7700Established
Delaware since 05/04/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
3Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
(1/22/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Feb 2005About the Series 87 examSRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
CRS (Client Relationship Summary) - BD
Click below to view Walter Scott Liptak's CRS (Customer Relationship Summary).
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.