Jeffrey A. 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.
Jeffrey Alan Walker was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1988. Jeffrey had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2013 - November 6, 2017
SPHINX TRADING, LP
March 7, 2007 - February 28, 2013
EQUITEC SPECIALISTS, LLC
April 11, 2003 - March 14, 2007
EQUITEC PROPRIETARY MARKETS, LLC
September 20, 1989 - December 31, 2001
TUCKER ANTHONY INCORPORATED
February 23, 1988 - August 1, 1989
THOMSON MCKINNON SECURITIES 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: 4/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
SPHINX TRADING, LP
CRD#: 33019 / SEC#: , 8-42017
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KUEHNER, CHRISTOPHER JOSEPH | CHIEF COMPLIANCE OFFICER | 2337409 |
Disclosures
| Regulatory Event | 3 |
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.
