Robert L. 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.
Robert Lowell Walker, who also goes by Bob Walker, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 6 firms and has passed the Series 63, Series 15 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
October 2, 1991 - June 29, 2000
RHODES SECURITIES, INC.
August 5, 1988 - September 24, 1991
HARRISON SECURITIES, INC.
July 21, 1988 - July 29, 1988
FIRST STATE SECURITIES, INC.
September 4, 1984 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
August 4, 1983 - July 30, 1984
MORGAN STANLEY DW INC.
June 28, 1982 - August 2, 1983
PRUDENTIAL EQUITY GROUP, 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
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationCurrent Firm
RHODES SECURITIES, INC.
CRD#: 19610 / SEC#: , 8-37689
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
