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Beth A. Walter

ABN AMRO CLEARING USA LLC
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 4721715
BW

Professional summary

Beth Ann Walter, who also goes by Beth A Walter, Beth Ann Walter, Beth Ann Wallace, is a registered financial professional currently at ABN AMRO CLEARING USA LLC located in Chicago, Illinois.

Beth is registered as a RR (Registered Representative) and started their career in finance in 2023. Beth has worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Beth A Walter | Beth Ann Walter | Beth Ann Wallace

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 Beth Ann Walter'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

August 31, 2023 - Present

ABN AMRO CLEARING USA LLC

Office #1: 175 West Jackson Blvd Ste 2050, Chicago, IL 60604
BD
CRD#: 14020
Chicago, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 8/31/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 7/13/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AA
ABN AMRO CLEARING USA LLC
ABN AMRO CLEARING CHICAGO LLC | SHAMROCK SECURITIES | SHAMROCK OPTIONS | SHAMROCK EQUITY SECURITIES | O'CONNOR & COMPANY LLC | O'CONNOR & COMPANY | FORTIS CLEARING AMERICAS LLC | ABN AMRO CLEARING USA LLC

CRD#: 14020 / SEC#: , 8-34354

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

Main Address
175 West Jackson Blvd Ste 2050, Chicago, IL 60604
Mailing Address
175 West Jackson Blvd Ste 2050, Chicago, IL 60604
Phone number
(312) 604-8000
Established
Illinois since 06/30/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ABN AMRO CLEARING HOLDINGS USA LLCSHAREHOLDER
ARNOLD, JEFFREY WAYNECHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER2204052
BREAULT, RONALD CLIFFORDNY BRANCH OFFICE MANAGER2253143
BREAULT, RONALD CLIFFORDCHIEF COMMERCIAL OFFICER2253143
DELHEIMER, MICHAEL FRANCISVP FINANCE, FINOP, PRINCIPAL FINANCIAL OFFICER5567195
DUINSTRA, BOUDEWIJNCHIEF EXECUTIVE OFFICER5504066
ENGELBERTS, PAULINE MATHILDEDIRECTOR, BOARD MEMBER7350692
GILMORE, KEVIN MICHAELPRINCIPAL OPERATIONS OFFICER3150898
ONEILL, YULIA VCHICAGO BRANCH OFFICE MANAGER, ROP6313470
SCHELLENS, RUTGER VINCENT CONSTANTIJNDIRECTOR6268503
TAYLOR, TIMOTHY JAMESPRINCIPAL OPERATIONS OFFICER1640795
TYRICHTROVA, MONIKA ALEXANDRACHIEF COMPLIANCE OFFICER4487708

Disclosures

Regulatory Event82

Red Flags

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Company Information

ABN AMRO CLEARING USA LLC

CRD#: 14020Chicago, IL 60604

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