Anthony G. Waalkens

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CRD#: 1448189

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.

Anthony Gale Waalkens, who also goes by Tony Waalkens, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1986. Anthony had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony Waalkens

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

June 13, 2008 - December 31, 2016

SUNSTREET SECURITIES, LLC

CRD#: 143211

AVONDALE, AZ

Past

January 22, 2008 - May 21, 2008

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

MONACA, PA

Past

April 7, 2006 - December 31, 2007

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

MONACA, PA

Past

October 7, 2004 - March 28, 2005

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

March 14, 1991 - December 31, 2003

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 31, 1989 - February 14, 1991

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

Past

June 24, 1986 - February 14, 1991

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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.

Exams

State Security Law Exam

Series 63

Date: 8/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/23/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SUNSTREET SECURITIES, LLC

CRD#: 143211 / SEC#: , 8-67541

Delaware

Registered Investment Advisory firm - SEC (12/31/2016 Terminated)

Nevada

Registered Investment Advisory firm - SEC (11/20/2007 Approved)

New Jersey

Registered Investment Advisory firm - SEC (8/23/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/4/2018 Conditional Restricted)

Washington

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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).

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Contact information

Main Address

10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

Mailing Address

10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

Phone number

(800) 823-1822

Established

Arizona since 01/04/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HADDAD, MUNIB SAID	CEO/CCO/CFO/FINOP/ROSFP/MANAGING MEMBER	2610231

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 5,900,000

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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Anthony G. Waalkens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUNSTREET SECURITIES, LLC

FORTUNE FINANCIAL SERVICES, INC.

FORTUNE FINANCIAL SERVICES, INC.

SIGNATOR INVESTORS, INC.

WOODBURY FINANCIAL SERVICES, INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

LUTHERAN BROTHERHOOD SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/1986

SIE

Date: 12/31/2016

Series 6

Date: 6/23/1986

Current Firm

SUNSTREET SECURITIES, LLC

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

SUNSTREET SECURITIES, LLC

TRUST BUT VERIFY

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