William A. Walters
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.
William Allen Walters, who also goes by Willie Walters, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 4 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
April 14, 2015 - December 18, 2017
SKB SECURITIES
February 28, 2013 - April 16, 2013
ROSENBLATT SECURITIES INC.
January 2, 2008 - November 11, 2011
WP ASSET MANAGEMENT LLC
June 13, 2007 - March 22, 2013
WEDGE SECURITIES, LLC
January 24, 2003 - June 13, 2007
THE BENCHMARK COMPANY, LLC
June 20, 2002 - February 4, 2003
BROKERAGEAMERICA, LLC
October 26, 1999 - July 2, 2002
DEUTSCHE IXE, LLC
July 19, 1999 - October 21, 1999
ELECTRONIC TRADING GROUP, LLC
June 22, 1998 - July 14, 1998
HANIFEN, IMHOFF INC.
October 19, 1983 - June 23, 1998
BRANCH, CABELL & 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
Series 55
Date: 1/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
SKB SECURITIES
CRD#: 38761 / SEC#: , 8-48390
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCANLANKEMPERBARD COMPANIES, LLC | MEMBER | |
| SCHRECK, GEORGE CHARLES | PRESIDENT, FIN OP, AML, PFO, POO, CCO, SECRETARY, COO, TREASURER | 2201543 |
Red Flags
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