Mark S. Walker

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CRD#: 1091795

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.

Mark Scott Walker was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 15, 2017 - May 1, 2023

MORETON CAPITAL MARKETS, LLC

CRD#: 132643

SALT LAKE CITY, UT

Past

October 1, 2014 - October 11, 2016

D.A. DAVIDSON & CO.

CRD#: 199

PORTLAND, OR

Past

November 6, 2009 - August 6, 2014

WELLS FARGO SECURITIES, LLC

CRD#: 126292

VANCOUVER, WA

Past

May 2, 2001 - May 31, 2001

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 26, 1999 - November 6, 2009

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

VANCOUVER, WA

Past

August 19, 1996 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

August 28, 1995 - August 19, 1996

FIRST INTERSTATE INVESTMENTS,INC.

CRD#: 17101

Past

August 25, 1992 - February 16, 1994

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

September 25, 1987 - June 3, 1988

MIDLAND MONTAGU SECURITIES INC.

CRD#: 18166

Past

March 2, 1983 - August 11, 1986

SECURITY PACIFIC SECURITIES OF OREGON, INC.

CRD#: 13120

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/3/1995

Municipal Securities Principal Examination

Current Firm

MORETON CAPITAL MARKETS, LLC

MORETON BROKERAGE SERVICES, LLC | MORETON CAPITAL MARKETS, LLC

CRD#: 132643 / SEC#: , 8-66620

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

101 S. 200 E. Suite 300, Salt Lake City, UT 84111

Mailing Address

101 S 200 E. Suite 300, Salt Lake City, UT 84111

Phone number

(801) 535-3650

Established

Utah since 07/19/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (39 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VOS, ERIC LEE	CEO/CCO	2836821
LUNDBERG, LARRY H	MEMBER	4500324
STOKER, RYAN SCOTT	MEMBER	4066425
WILLIAM R. MORETON ESTATE	MEMBER
MORETON, CHARI W	PERSONAL REPRESENTATIVE OF THE WILLIAM R. MORETON ESTATE	8108960
ROESKE, SHARON LEE	FINOP	720262

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.

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Advisor Monitoring

Firm Stability Insights

Mark S. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

D.A. DAVIDSON & CO.

WELLS FARGO SECURITIES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO SECURITIES INC.

FIRST INTERSTATE INVESTMENTS,INC.

BA INVESTMENT SERVICES, INC.

MIDLAND MONTAGU SECURITIES INC.

SECURITY PACIFIC SECURITIES OF OREGON, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/4/1992

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/15/1983

Series 53

Date: 2/3/1995

Current Firm

MORETON CAPITAL MARKETS, LLC

Contact information

FINRA licenses (39 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MORETON CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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