Walter A. Bakum
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 Anthony Bakum, who also goes by Tony Bakum, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1973. Walter had worked at 15 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2011 - August 8, 2012
GLOBAL ARENA CAPITAL CORP
April 8, 2008 - December 19, 2008
GLEN EAGLE WEALTH, LLC
September 9, 2004 - December 13, 2007
UBS FINANCIAL SERVICES INC.
August 26, 2004 - December 13, 2007
UBS FINANCIAL SERVICES INC.
June 9, 2004 - August 30, 2004
QUICK & REILLY, INC.
April 3, 2002 - August 30, 2004
QUICK & REILLY, INC.
September 1, 2000 - November 15, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 17, 1998 - May 12, 2000
UBS FINANCIAL SERVICES INC.
October 31, 1997 - March 25, 1998
MONTROSE CAPITAL MANAGEMENT LTD.
February 20, 1997 - May 8, 1997
CONTINENTAL BROKER-DEALER CORP.
January 4, 1996 - March 5, 1997
AMERICORP SECURITIES, INC.
July 31, 1993 - January 4, 1996
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
December 28, 1977 - May 14, 1988
E. F. HUTTON & COMPANY INC
July 12, 1977 - January 7, 1978
B-R SECURITIES CORP.
March 19, 1975 - July 30, 1977
PHILIPS, APPEL & WALDEN, INC.
August 3, 1973 - February 7, 1975
MAYHILL AGENCY
February 14, 1973 - April 13, 1975
MAYFLOWER SECURITIES CO., 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
PC
Date: 4/4/1977
AMEX Put and Call ExamSeries 1
Date: 2/5/1973
Registered Representative ExaminationSeries 8
Date: 10/30/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
