Constance R. Walden
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.
Constance R Walden, who also goes by Constance Rene Walden, was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 1987. Constance had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2012 - December 14, 2015
PROVIDENT CAPITAL MANAGEMENT INC
October 13, 2005 - October 2, 2008
CHARLES SCHWAB & CO., INC.
October 13, 2005 - October 2, 2008
CHARLES SCHWAB & CO., INC.
June 25, 2005 - October 12, 2005
JANNEY MONTGOMERY SCOTT LLC
June 25, 2005 - October 12, 2005
JANNEY MONTGOMERY SCOTT LLC
February 2, 2005 - June 25, 2005
PARKER/HUNTER INCORPORATED
December 17, 2003 - June 25, 2005
PARKER/HUNTER INCORPORATED
September 18, 1991 - December 31, 2002
CHARLES SCHWAB & CO., INC.
August 7, 1990 - August 12, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 7, 1990 - August 12, 1991
EQUITABLE ADVISORS, LLC
May 21, 1987 - April 18, 1990
CITY SECURITIES CORPORATION
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 8
Date: 12/14/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PROVIDENT CAPITAL MANAGEMENT INC
CRD#: 133898 / SEC#: 801-77108
Contact information
Regulatory assets under management
| Total Number of Accounts | 385 |
| AUM (Assets Under Management) | $ 51,392,901 |
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.
