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SW

Scott A. Walters

PENSERRA SECURITIES
New York, NY 10018
CRD#: 1462039
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SW
Scott Andrew WaltersPENSERRA SECURITIES

Professional summary

Scott Andrew Walters, who also goes by Scott Andrew Walters, is a registered financial professional currently at PENSERRA SECURITIES, LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1986. Scott has worked at 11 firms and has passed the Series 63, Series 99TO, Series 72, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott Andrew Walters

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) - BD

Click below to view Scott Andrew Walters's CRS (Customer Relationship Summary).

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

Current

June 16, 2026 - Present

PENSERRA SECURITIES, LLC

Office #1: 530 Seventh Ave Suite 2802, New York, NY 10018
BD
CRD#: 145994
New York, NY
Past

June 3, 2020 - August 21, 2025

R.W.PRESSPRICH & CO.

BD
CRD#: 26460
NEW YORK, NY
Past

January 14, 2015 - March 13, 2020

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
NEW YORK, NY
Past

August 28, 2012 - December 8, 2014

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
NEW YORK, NY
Past

May 19, 2006 - August 13, 2012

SAMCO CAPITAL MARKETS, INC.

BD
CRD#: 136532
NEW YORK, NY
Past

February 3, 2003 - May 19, 2006

PENSON FINANCIAL SERVICES, INC.

BD
CRD#: 25866
NEW YORK, NY
Past

October 10, 2001 - February 3, 2003

SERVICE ASSET MANAGEMENT COMPANY

BD
CRD#: 47157
AUSTIN, TX
Past

September 26, 2001 - October 9, 2001

REDWOOD BROKERAGE LLC

BD
CRD#: 39416
NEW YORK, NY
Past

August 31, 1999 - September 25, 2001

NATIVE NATIONS SECURITIES, INC.

BD
CRD#: 334
JERSEY CITY, NJ
Past

August 23, 1988 - November 16, 1998

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

February 19, 1986 - February 10, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

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
RR
Series 63
Date: 10/7/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/14/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PENSERRA SECURITIES, LLC
PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Mailing Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Phone number
(646) 459-0581
Established
New York since 02/27/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
PENSERRA FINANCIAL VENTURES LLCHOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMNCOO4409925
GEIGER, LEE WILSONFINOP1552293
JOSEPH, ELOIS L'KEKSHACCO5449352
MADRIGAL, JORGE NMNPRESIDENT & CEO / MEMBER3204950

Disclosures

Regulatory Event2

Red Flags

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Company Information

PENSERRA SECURITIES, LLC

CRD#: 145994New York, NY 10018

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