Walter L. Wilson
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.
Walter Lucien Wilson III, who also goes by Walter Lucien III Wilson, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1985. Walter had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2003 - December 31, 2017
LUCIEN STIRLING & GRAY ADVISORY GROUP INC
November 24, 1992 - December 31, 2017
LUCIEN, STIRLING & GRAY FINANCIAL CORPORATION
November 7, 1989 - July 24, 1992
NEW ENGLAND SECURITIES
February 1, 1988 - July 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 9, 1985 - November 30, 1987
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LUCIEN STIRLING & GRAY ADVISORY GROUP INC
CRD#: 112641 / SEC#: 801-79381
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
LUCIEN STIRLING & GRAY ADVISORY GROUP INC
CRD#: 112641 / SEC#: 801-79381
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 599 |
| AUM (Assets Under Management) | $ 130,909,613 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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