Walter Gilmore has been CCO of Alpha Fiduciary since June 2020, is not listed as a control person, but directly owns under 5% of the firm. Walter Gilmore holds a BA in Economics from Dickinson College and a Juris Doctorate from Rutgers School of Law, Camden.
Alpha Fiduciary, Inc. is a Phoenix, AZ firm with $114M under management, 105 clients and 2 advisers in one office, as of its September 2026 filing.
Alan Gilmore is Chief Compliance Officer of Alpha Fiduciary, Inc. Earlier, Gilmore was a regulator and investigative attorney with the New Jersey Bureau of Securities, practiced law at a large law firm focused on investment advisory and broker-dealer regulatory and compliance issues, and worked as a compliance attorney at Morgan Stanley and Goldman Sachs & Co. For the past twelve years, Gilmore has run a boutique practice providing legal, consulting and CCO services to registered SEC investment advisory firms and FINRA broker-dealers.
Walter Gilmore’s longest registration is the current one, 5 years at K R Financial LLC since 2021.
- K R Financial LLCAlso current– present · 5 yearsPrinceton, NJ · Adviser representative · Firm CRD 111282
- Rilex Capital LLC– · under a yearManasquan, NJ · Adviser representative · Firm CRD 309783
- PCB Capital LLC– · under a yearNorth Brunswick, NJ · Adviser representative · Firm CRD 309784
- MK3 Wealth LLC– · under a yearVoorhees, NJ · Adviser representative · Firm CRD 305760
- Family Wealth Partners LLC– · under a yearMedford, NJ · Adviser representative · Firm CRD 304935
Investment adviser representative registrations
Walter Gilmore is registered as an investment adviser representative in New Jersey, since February 2021.
- New JerseySince 9 February 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 8 August 2012 |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 8 December 2010 |
| Series 23 | General Securities Principal Sales Supervisor | 29 April 2010 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 9 January 2008 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 3 December 2007 |
| Series 66 | Uniform Combined State Law Examination | 26 June 2007 |
| Series 7 | General Securities Representative Examination | 17 February 2005 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- General Securities Principal Sales Supervisor
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Walter Alan Gilmore
- CRD
- 1996728
- Firm
- Alpha Fiduciary · CRD 144720
- Role
- CCO
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 2007
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- alphafiduciary.com
Where does Walter Gilmore work?
Walter Gilmore has been CCO of Alpha Fiduciary, Inc. since June 2020.
Is Walter Gilmore a financial advisor?
Yes. Walter Gilmore has a current investment-adviser registration in New Jersey.
How many years of experience does Walter Gilmore have?
Walter Gilmore has 19 years in the financial industry, since February 2007, across 5 adviser firms.
What exams has Walter Gilmore passed?
Walter Gilmore has passed 11 licensing exams: the Series 7, Series 66, Series 9, Series 10, Series 23, Series 28, Series 53, Series 14, Series 24, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in February 2005. FINRA credited Walter Gilmore with the SIE, which began in October 2018.
Where was Walter Gilmore previously registered as an investment adviser?
Walter Gilmore has past investment-adviser registrations through Rilex Capital LLC, August 2020 to November 2020; PCB Capital LLC, July 2020 to August 2020; MK3 Wealth LLC, October 2019 to November 2019; Family Wealth Partners LLC, August 2019 to September 2019, across 5 firms.
Is Walter Gilmore registered with FINRA?
Yes. Walter Gilmore has a current broker registration, under CRD 1996728.
Source: FINRA BrokerCheck
How can I verify Walter Gilmore’s record?
Search CRD 1996728 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Walter Gilmore’s full registration record.