Walter D. Clack
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 Douglas Clack, who also goes by Doug Clack, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1985. Walter had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2016 - November 3, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
October 23, 2014 - March 27, 2015
PAULSON INVESTMENT COMPANY LLC
November 5, 2010 - May 10, 2011
FURTHER LANE SECURITIES, L.P.
November 22, 1996 - June 27, 2001
WELLS FARGO SECURITIES, LLC
June 7, 1994 - July 29, 1994
COWEN PRIME SERVICES TRADING LLC
August 9, 1993 - September 3, 1993
PREFERREDTRADE, INC.
August 31, 1988 - February 17, 1989
DICKINSON & CO.
October 23, 1985 - September 3, 1987
MORGAN STANLEY DW 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
Series 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
