Mark J. Walker

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CRD#: 1412104

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.

Mark Jackson Walker, who also goes by Marks Jackson Walker, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 2 firms and has passed the Series 65, Series 63, Series 5, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marks Jackson Walker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 10, 1989 - January 17, 2019

RICHMOND CAPITAL MANAGEMENT INC

RIA

CRD#: 104636

RICHMOND, VA

Past

October 22, 1985 - January 24, 1989

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RICHMOND CAPITAL MANAGEMENT INC

CRD#: 104636 / SEC#: 801-17534

RIA

Registered Investment Advisory firm - (9/2/1982 Approved)

Illinois

Registered Investment Advisory firm - (9/4/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/5/1989

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/31/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/5/1985

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 11/12/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Current Firm

RICHMOND CAPITAL MANAGEMENT INC

CRD#: 104636 / SEC#: 801-17534

RIA

Registered Investment Advisory firm - (9/2/1982 Approved)

Illinois

Registered Investment Advisory firm - (9/4/2003 Terminated)

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Contact information

Main Address

1509a Belleville Street, Richmond, VA 23230

Mailing Address

Phone number

(804) 379-8280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RCM PART 2A SUMMARY OF MATERIAL CHANGES (3/17/2025)

RCM PART 2A OF FORM ADV (3/17/2025)

Regulatory assets under management

Total Number of Accounts	175
AUM (Assets Under Management)	$ 6,139,393,000

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.

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Firm Stability Insights

Mark J. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

RICHMOND CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/1989

Series 63

Date: 10/31/1985

Series 5

Date: 12/5/1985

Series 3

Date: 11/12/1985

Series 7

Date: 10/19/1985

Current Firm

RICHMOND CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHMOND CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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