James F. 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.
James Fredrick Walker III, who also goes by James Frederick Walker III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 9 firms and has passed the Series 63, Series 6, Series 7, 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
February 21, 1995 - July 9, 1997
COMPREHENSIVE CAPITAL CORPORATION
June 9, 1989 - October 24, 1989
G. K. SCOTT & CO., INC.
October 19, 1988 - April 21, 1989
H. T. FLETCHER SECURITIES INCORPORATED
March 8, 1988 - October 8, 1988
BRENNAN ROSS SECURITIES, INC.
October 30, 1987 - January 19, 1988
BERKELEY SECURITIES CORPORATION
May 13, 1987 - November 2, 1987
BRADSTREET CAPITAL, INC.
July 8, 1986 - May 20, 1987
CROMWELL, KNIGHT & CO., INC.
May 6, 1985 - June 12, 1986
ROTHSCHILD EQUITY MANAGEMENT GROUP, INC.
April 23, 1985 - May 1, 1985
COMSTOCK INVESTMENTS, 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
Current Firm
COMPREHENSIVE CAPITAL CORPORATION
CRD#: 6215 / SEC#: , 8-17087
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
Red Flags
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