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 Francis Walker was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2014 - October 18, 2016
CREDIT SUISSE SECURITIES (USA) LLC
January 13, 2014 - October 18, 2016
CREDIT SUISSE SECURITIES (USA) LLC
June 1, 2009 - January 15, 2014
MORGAN STANLEY
June 1, 2009 - January 15, 2014
MORGAN STANLEY
December 7, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 30, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 12, 1996 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 1985 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 8
Date: 9/13/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
