C J. Walker
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.
C James Walker, who also goes by Charles James Walker III, was a registered financial professional .
C is a previously registered financial professional and started their career in finance in 1982. C had worked at 18 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2012 - January 4, 2013
CAPITAL PATH SECURITIES, LLC
February 27, 2009 - March 6, 2010
HUDSON SECURITIES,INC.
August 25, 2005 - March 25, 2009
WESTMINSTER SECURITIES CORPORATION
June 14, 2002 - November 10, 2003
VFINANCE INVESTMENTS, INC
October 9, 2001 - June 14, 2002
SOMERSET FINANCIAL GROUP, INC.
April 11, 2001 - August 2, 2001
THOMAS FLETCHER & COMPANY, INC.
July 30, 1998 - March 13, 2000
DOMINARI SECURITIES LLC
October 29, 1996 - July 14, 1998
COMMONWEALTH ASSOCIATES
November 10, 1994 - October 25, 1996
AUERBACH, POLLAK & RICHARDSON INC.
June 27, 1994 - August 12, 1994
BAIRD, PATRICK & CO., INC.
April 15, 1993 - June 10, 1994
FAB SECURITIES OF AMERICA, INC.
August 29, 1991 - March 22, 1993
TUCKER ANTHONY INCORPORATED
December 7, 1990 - August 12, 1991
FSC SECURITIES CORPORATION
July 25, 1988 - December 7, 1990
COZAD INVESTMENT SERVICES, INC.
April 13, 1988 - July 5, 1988
OPPENHEIMER & CO. INC.
September 23, 1987 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
August 22, 1984 - March 4, 1985
ROONEY, PACE INC.
November 15, 1982 - April 13, 1984
TUCKER ANTHONY INCORPORATED
January 25, 1982 - April 13, 1982
LEHMAN BROTHERS INC.
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
CAPITAL PATH SECURITIES, LLC
CRD#: 104363 / SEC#: , 8-52824
Contact information
Documents
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.
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