Gary Waller, financial advisor San Francisco CA
96 score

Gary Waller

CRD Number: 4531813
Current Firm: Hilltop Securities Inc.

Gary Waller (CRD# 4531813) is an Investment Advisor Representative working at Hilltop Securities Inc. in San Francisco, CA and has over 14 years of experience in the finance industry. Gary Waller has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Hilltop Securities Inc. San Francisco, CA Oct 2015 - Current 1
M.l. Stern & Company, LLC San Francisco, CA Apr 2002 - Oct 2015 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2002
S65 NASAA Investment Advisors Law Examination May 2006
Contact Info for Gary S. Waller
Phone Number: 214-859-1800
Firm Website: http://genepdickey.com
Registered State(s):
  • CA
  • FL
By the Numbers
  • Total Assets Under Management
    927
    MILLIONS
  • Total Number of Accounts
    3,659
    ACCOUNTS
  • Average Account Value
    $253,402
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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