RW
Randall K. Walker
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CRD#: 1269196
RW
Randall Kenneth 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.
Randall Kenneth Walker, who also goes by Randall K Walker, Randy Walker, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1984. Randall had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
Randall K Walker | Randy Walker
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.
1) CONTINENTAL CASUALTY COMPANY Insurance Agent: Insurance company offering long term care insurance, life insurance and property and casualty insurance. They are consistently researching the market for competitive pricing on products, recruiting agents, composing proposals for new customers, servicing policies and handling claims. NIR; 0; 0; 06/28/1994; CNA Plaza, Chicago IL 60685, US; Researched this company's line of long term care insurance policies, presented the most appropriate policy for my client, wrote the application and placed the policy. 2) FEDEX Courier: I am a Courier, operating out of the Minneapolis/St. Paul airport location for FedEx. I will pick up packages at various businesses and drop boxes in the metro area. I will also deliver packages to various businesses and homes in the metro area. It is also my duty to review trucks at the end of the work day for packages left on them. It is also my duty to repark these trucks in appropriate parking areas of the terminal for the night; NIR; 80; 0; 06/26/2019; 2825 Cargo Rd, Minneapolis MN 55439, US; I am a Courier, operating out of the Minneapolis/St. Paul airport location for FedEx. I will pick up packages at various businesses and drop boxes in the metro area. I will also deliver packages to various businesses and homes in the metro area. It is also my duty to review trucks at the end of the work day for packages left on them. It is also my duty to repark these trucks in appropriate parking areas of the terminal for the night.? 3) WALKER FINANCIAL GROUP, LLC POSITION: Owner NATURE: This is a newly formed DBA. I will be operating as a Financial Advisor under this DBA. This will pertain to securities and insurance transactions. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 06/30/2023 ADDRESS: 2109 E 125th St, Burnsville MN 55337, United States DESCRIPTION: Prospecting for new financial services clients, determining financial needs they may have, presenting investment and insurance solutions to them, submitting appropriate business transactions to the appropriate Avantax approved locations, presenting and reviewing the products purchased by the clients. 4) KELLER WILLIAMS REALTY INTEGRITY EDINA POSITION: Realtor NATURE: Independent contractor as a residential Realtor. Activities include representing buyers and sellers in real estate transactions. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 20 START DATE: 12/10/2019 ADDRESS: 7401 Metro Blvd, Suite 350, Edina MN 55439, United States DESCRIPTION: Duties include finding and showing homes for sale to potential buyers, listing homes for sale for sellers and marketing those homes to potential buyers and other Realtors, negotiating transactions on behalf of clients.
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®
NoneExperience
Past
September 5, 2025 - March 12, 2026
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BURNSVILLE, MN
Past
September 5, 2025 - March 12, 2026
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Burnsville, MN
Past
May 15, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Burnsville, MN
Past
May 11, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Burnsville, MN
Past
January 14, 2014 - February 10, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Burnsville, MN
Past
October 20, 2010 - February 10, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Burnsville, MN
Past
June 6, 2002 - October 28, 2010
WADDELL & REED
RIA
CRD#: 866
BLOOMINGTON, MN
Past
June 20, 1984 - October 28, 2010
WADDELL & REED
BD
CRD#: 866
BLOOMINGTON, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Loading...
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
