Andrew C. 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.
Andrew Charles Joseph Walker, who also goes by Andrew Charles Walker, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1985. Andrew had worked at 2 firms and has passed the Series 63, Series 17, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2000 - August 5, 2014
YORK STOCKBROKERS, INC.
November 19, 1985 - November 12, 1990
PRUDENTIAL EQUITY GROUP, LLC
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 17
Date: 6/8/2000
Limited Registered Representative ExaminationCurrent Firm
YORK STOCKBROKERS, INC.
CRD#: 102740 / SEC#: , 8-52139
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
