BW
Bradley J. Walker
CAIS CAPITAL LLC
NEW YORK, NY 10022
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CRD#: 5000838
BW
Professional summary
Bradley Jay Walker is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.
Bradley is registered as a RR (Registered Representative) and started their career in finance in 2005. Bradley has worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Bradley Jay 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®
NoneExperience
Current
August 20, 2012 - Present
CAIS CAPITAL LLC
Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022Office #2: 527 Madison Avenue 2nd Floor, New York, NY 10022BD
CRD#: 154512
NEW YORK, NY
Past
June 1, 2009 - May 19, 2010
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
December 7, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
Alabama(5/11/2015)
RR
Alaska(4/6/2015)
RR
Arizona(4/10/2015)
RR
Arkansas(5/8/2015)
RR
California(1/18/2013)
RR
Colorado(3/26/2015)
RR
Connecticut(4/1/2015)
RR
Delaware(4/13/2015)
RR
District of Columbia(5/14/2015)
RR
Florida(3/18/2015)
RR
Georgia(5/1/2015)
RR
Hawaii(8/27/2015)
RR
Idaho(3/19/2015)
RR
Illinois(4/29/2015)
RR
Indiana(9/29/2015)
RR
Iowa(3/19/2015)
RR
Kansas(4/2/2015)
RR
Kentucky(3/23/2015)
RR
Louisiana(3/23/2015)
RR
Maine(6/5/2015)
RR
Maryland(5/13/2019)
RR
Massachusetts(3/18/2015)
RR
Michigan(11/27/2024)
RR
Minnesota(3/19/2015)
RR
Mississippi(4/10/2015)
RR
Missouri(8/10/2020)
RR
Montana(4/7/2015)
RR
Nebraska(3/31/2015)
RR
Nevada(5/7/2015)
RR
New Hampshire(7/23/2015)
RR
New Jersey(5/6/2015)
RR
New Mexico(4/10/2015)
RR
New York(1/18/2013)
RR
North Carolina(3/30/2015)
RR
North Dakota(7/1/2015)
RR
Ohio(3/18/2015)
RR
Oklahoma(3/20/2015)
RR
Oregon(4/2/2015)
RR
Pennsylvania(3/24/2015)
RR
Puerto Rico(5/6/2015)
RR
Rhode Island(3/19/2015)
RR
South Carolina(4/2/2015)
RR
South Dakota(3/25/2015)
RR
Tennessee(9/4/2015)
RR
Texas(3/31/2015)
RR
Utah(3/18/2015)
RR
Vermont(3/20/2015)
RR
Virgin Islands(4/15/2015)
RR
Virginia(8/31/2015)
RR
Washington(3/18/2015)
RR
West Virginia(7/15/2015)
RR
Wisconsin(4/2/2015)
RR
Wyoming(4/13/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CC
CAIS CAPITAL LLC
CAIS CAPITAL LLC
CRD#: 154512 / SEC#: , 8-68646
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Mailing Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Phone number
(212) 300-9350
Established
Delaware since 07/27/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL INTEGRATION SYSTEMS LLC | PARENT/OWNER | |
| BROWN, MATTHEW CRAWFORD | CEO/MEMBER/EXECUTIVE REP. | 2160159 |
| COLLINS, MICHAEL PATRICK | CCO | 5366193 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| PARISE, JANICE DRU | FINOP/PFO | 2338583 |
| PREMSELAAR, MARC KLEIN | SENIOR MANAGING DIRECTOR | 5395973 |
| SHANNON, TIMOTHY BRIAN | PRESIDENT | 4461906 |
| WALKER, BRADLEY JAY | SENIOR MANAGING DIRECTOR | 5000838 |
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.
