Fred G. 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.
Fred Gale Walker III, who also goes by Fred Gale Walker, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1997. Fred had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2006 - September 30, 2006
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
July 18, 2002 - December 3, 2014
G1 EXECUTION SERVICES, LLC
July 2, 2002 - July 18, 2002
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
December 4, 2001 - July 8, 2002
MELVIN SPECIALISTS, L.L.C.
August 25, 2000 - September 6, 2001
BLUE CHIP TRADING L.L.C.
November 8, 1997 - August 7, 2000
KNIGHT CAPITAL MARKETS LLC
August 18, 1997 - November 8, 1997
TRADETECH SECURITIES L.P.
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: 11/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
CRD#: 1625 / SEC#: , 8-833
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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