Arthur L. 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.
Arthur Lewis Walters was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1985. Arthur had worked at 1 firm and has passed the Series 63, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 1985 - March 8, 2013
TRANS AMERICAN EQUITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TRANS AMERICAN EQUITIES CORPORATION
CRD#: 15518 / SEC#: , 8-32418
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WALTERS, ARTHUR LEWIS | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 1304422 |
Disclosures
| Regulatory Event | 1 |
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.
