Walter O. Briggs
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.
Walter Owen Briggs III, who also goes by Walter Owen Birggs, Walter Owen Briggs, was a registered financial advisor .
Walter is a previously registered financial advisor and started their career in finance in 1976. Walter had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2009 - September 8, 2011
SECURITIES AMERICA, INC.
January 16, 2009 - December 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
January 16, 2009 - December 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
November 13, 2006 - January 26, 2009
JANNEY MONTGOMERY SCOTT LLC
December 15, 1989 - January 26, 2009
JANNEY MONTGOMERY SCOTT LLC
October 3, 1988 - October 19, 1989
ALISON, BAER SECURITIES INC.
June 2, 1982 - October 24, 1988
MCKITTRICK & BRIGGS SECURITIES, INC.
September 19, 1979 - February 22, 1985
JSC SECURITIES, INC.
July 14, 1977 - October 24, 1979
CIBC WORLD MARKETS CORP.
April 14, 1976 - June 24, 1977
NEUBERGER BERMAN BD LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/16/1963
Registered Representative ExaminationSeries 12
Date: 1/17/1981
NYSE Branch Manager ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
