John A. Walton
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.
John Alonzo Walton, who also goes by John Alanzo Walton, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 4 firms and has passed the Series 65, Series 63, Series 15, Series 7, Series 4, Series 53, Series 27 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
November 23, 2011 - December 31, 2012
BISCAYNE ADVISORS, INC.
November 26, 1990 - June 18, 2012
WALTON JOHNSON & COMPANY
February 17, 1987 - December 31, 1988
AVANTAX INVESTMENT SERVICES, INC.
December 23, 1983 - January 18, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 11/5/1984
Foreign Currency Options ExaminationCurrent Firm
BISCAYNE ADVISORS, INC.
CRD#: 104584 / SEC#: 801-56997
Contact information
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.
