Michael B. Waln

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CRD#: 4836572

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Burk Waln, who also goes by Michael Burk Waln, Michael Waln, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Burk Waln | Michael Waln

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 11, 2024 - September 29, 2025

SRT SECURITIES LLC

CRD#: 33725

Prosper, TX

Past

January 13, 2022 - July 21, 2023

MORETON CAPITAL MARKETS, LLC

CRD#: 132643

SALT LAKE CITY, UT

Past

July 16, 2019 - October 27, 2020

STONEX FINANCIAL INC.

CRD#: 45993

Dallas, TX

Past

June 4, 2018 - July 12, 2019

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DALLAS, TX

Past

June 4, 2018 - July 12, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

DALLAS, TX

Past

March 28, 2017 - May 16, 2018

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

Garland, TX

Past

March 8, 2017 - May 16, 2018

CAPITAL ONE INVESTING, LLC

CRD#: 45744

Flower Mound, TX

Past

June 2, 2015 - January 13, 2016

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

DALLAS, TX

Past

May 11, 2015 - January 13, 2016

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

DALLAS, TX

Past

March 27, 2015 - April 22, 2015

LPL FINANCIAL LLC

CRD#: 6413

FLOWER MOUND, TX

Past

January 13, 2014 - May 30, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

TULSA, OK

Past

May 1, 2006 - May 17, 2010

INTL FCSTONE CREDIT TRADING LLC

CRD#: 41025

PLANO, TX

Past

September 22, 2004 - January 23, 2006

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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

State Security Law Exam

IAR

Series 65

Date: 5/19/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/2014

General Securities Representative Examination

Current Firm

SRT SECURITIES LLC

ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: , 8-34415

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

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Contact information

Main Address

416 Hawthorne Street, Birmingham, MI 48009

Mailing Address

416 Hawthorne Street, Birmingham, MI 48009

Phone number

(917) 282-4757

Established

Delaware since 05/24/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SRT SECURITIES INC.	MEMBER
FRUCHTER, MICHAEL ALAN	CFO/FINANCIAL & OPERATIONS PRINCIPAL	4202965
TOBIAS, STEPHEN RORY	PRESIDENT, CCO, S.R.O.P. & C.R.O.P.	1267337

Disclosures

Regulatory Event

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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Firm Stability Insights

Michael B. Waln

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORETON CAPITAL MARKETS, LLC

STONEX FINANCIAL INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

INTL FCSTONE CREDIT TRADING LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2015

Series 63

Date: 1/21/2014

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/13/2014

Current Firm

SRT SECURITIES LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SRT SECURITIES LLC

TRUST BUT VERIFY

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