Millicent E. 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.
Millicent Elise Walker, who also goes by Millicent Elise Counts, was a registered financial professional .
Millicent is a previously registered financial professional and started their career in finance in 1986. Millicent had worked at 19 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2021 - September 30, 2022
MATRIX 360 DISTRIBUTORS, LLC
May 30, 2018 - December 1, 2020
LAURENTIAN CAPITAL (USA) INC
October 1, 2013 - December 23, 2014
STONEX FINANCIAL INC.
July 1, 2011 - November 1, 2011
K.C. WARD FINANCIAL
June 3, 2010 - September 30, 2013
CORE FINANCIAL, LLC
September 11, 2009 - February 22, 2010
HOLLAND INVESTMENT SERVICES, INC.
June 24, 2008 - September 23, 2010
OLD MUTUAL FINANCIAL NETWORK SECURITIES, INC.
February 9, 2007 - July 23, 2008
LEGACY PARTNERS GROUP, LLC
March 28, 2006 - March 19, 2010
T-H BROKERAGE SERVICES, LLC
August 17, 2004 - April 1, 2005
EVOLUTION SECURITIES US INC.
March 3, 2004 - May 31, 2005
STARR STRATEGIC PARTNERS, LLC
April 17, 2001 - August 3, 2004
EVOLUTION SECURITIES US INC.
March 2, 2001 - May 30, 2001
RESOURCE HORIZONS GROUP LLC
November 4, 1998 - May 24, 2000
JACKSON SECURITIES LLC
March 18, 1997 - June 30, 1997
THE MALACHI GROUP, INC.
April 2, 1996 - January 16, 1997
COMPREHENSIVE FINANCIAL SERVICES, INC.
March 13, 1995 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
July 23, 1990 - December 5, 1990
CARNEGIE SECURITIES CORPORATION
March 21, 1990 - December 18, 1996
IFG NETWORK SECURITIES, INC.
March 19, 1990 - June 28, 1993
PLANNED INVESTMENTS INC.
October 29, 1986 - September 21, 1989
FSC SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MATRIX 360 DISTRIBUTORS, LLC
CRD#: 159715 / SEC#: , 8-69013
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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