Walter J. Baronowski
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.
Walter John Baronowski was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1974. Walter had worked at 8 firms and has passed the Series 63, Series 7, Series 79, Series 1, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2012 - March 1, 2013
CLANCY FINANCIAL SERVICES, INC.
October 11, 1984 - August 19, 1985
EMPLOYEE PLAN SERVICES, INC.
November 12, 1980 - April 10, 1992
SECURITIES RESOURCE, INC.
January 16, 1978 - August 26, 1979
J.P. MORGAN SECURITIES LLC
September 16, 1977 - February 13, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 7, 1974 - February 27, 1976
BACHE & CO., 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 1
Date: 3/4/1974
Registered Representative ExaminationSeries 40
Date: 11/20/1978
Registered Principal ExaminationCurrent Firm
CLANCY FINANCIAL SERVICES, INC.
CRD#: 133379 / SEC#: , 8-66718
Contact information
Documents
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.
