Walter A. Lough
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 Aloysius Lough JR was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1982. Walter had worked at 12 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2003 - December 31, 2013
THE LEADERS GROUP, INC.
September 28, 2001 - February 25, 2003
OSAIC FS, INC.
November 17, 1999 - October 15, 2001
VERAVEST INVESTMENTS, INC.
October 1, 1997 - November 5, 1999
OSAIC FS, INC.
March 4, 1994 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
November 4, 1992 - March 17, 1994
G. R. PHELPS & CO., INC.
March 31, 1992 - November 10, 1992
LASALLE ST SECURITIES, L.L.C.
September 24, 1991 - April 1, 1992
SECURIAN FINANCIAL SERVICES, INC.
March 25, 1988 - October 10, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
April 20, 1987 - May 3, 1988
WS GRIFFITH SECURITIES, INC.
January 24, 1986 - May 8, 1987
CARILLON INVESTMENTS, INC.
February 26, 1982 - March 27, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 26, 1982 - April 1, 1986
EQUITABLE ADVISORS, 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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
