Larry C. Waltz
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.
Larry Curtis Waltz was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1985. Larry had worked at 4 firms and has passed the Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 1991 - December 31, 1991
FINANCIAL WEST GROUP
November 4, 1987 - October 24, 1989
CAPITAL BROKERAGE CORPORATION
April 29, 1987 - November 2, 1987
CHRISTOPHER WEIL & COMPANY, INC
June 25, 1985 - April 29, 1987
COLUMBINE SECURITIES, 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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
