Brian C. Rall

STRATEGIC RETIREMENT PARTNERS

Seattle, WA

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CRD#: 855195

Professional summary

Brian Charles Rall is a registered financial advisor currently at STRATEGIC RETIREMENT PARTNERS, LLC located in Seattle, Washington.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Brian has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Charles Rall'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

June 27, 2018 - Present

STRATEGIC RETIREMENT PARTNERS, LLC

RIA

CRD#: 297011

Seattle, WA

Past

October 3, 2001 - August 29, 2002

FIRST MONTAUK SECURITIES CORP.

RIA

CRD#: 13755

BELLEVUE, WA

Past

September 7, 2001 - August 29, 2002

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

September 2, 1992 - September 6, 2001

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

October 2, 1989 - September 2, 1992

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

January 18, 1985 - October 5, 1989

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 3, 1983 - December 17, 1983

CHARTER INVESTMENT GROUP, INC.

CRD#: 7410

Past

September 9, 1980 - April 26, 1983

HAMMERBECK AND COMPANY, INC.

CRD#: 1201

Past

November 1, 1979 - October 5, 1980

FOSTER & MARSHALL INC.

CRD#: 321

Past

July 26, 1978 - November 5, 1979

BLACK & COMPANY, INC.

CRD#: 95

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(6/27/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/10/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/15/1978

General Securities Representative Examination

Current Firm

STRATEGIC RETIREMENT PARTNERS, LLC

CRD#: 297011 / SEC#:

Washington

Registered Investment Advisory firm - (6/27/2018 Approved)

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Contact information

Main Address

1501 California Ave Sw Apt 307, Seattle, WA 98116

Mailing Address

Phone number

(425) 221-1422

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 4,596,550

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian C. Rall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Charles Rall's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

CIBC WORLD MARKETS CORP.

DAIN RAUSCHER INCORPORATED

CIBC WORLD MARKETS CORP.

CHARTER INVESTMENT GROUP, INC.

HAMMERBECK AND COMPANY, INC.

FOSTER & MARSHALL INC.

BLACK & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/10/2018

Series 63

Date: 2/6/1984

Series 7

Date: 7/15/1978

Current Firm

STRATEGIC RETIREMENT PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STRATEGIC RETIREMENT PARTNERS, LLC

TRUST BUT VERIFY

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