Scott A. Walters
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.
Scott Andrew Walters, who also goes by Scott Andrew Walters, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 10 firms and has passed the Series 63, Series 99TO, Series 72, SIE, 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 3, 2020 - August 21, 2025
R.W.PRESSPRICH & CO.
January 14, 2015 - March 13, 2020
JANNEY MONTGOMERY SCOTT LLC
August 28, 2012 - December 8, 2014
B. RILEY WEALTH MANAGEMENT
May 19, 2006 - August 13, 2012
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
October 10, 2001 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
September 26, 2001 - October 9, 2001
REDWOOD BROKERAGE LLC
August 31, 1999 - September 25, 2001
NATIVE NATIONS SECURITIES, INC.
August 23, 1988 - November 16, 1998
J.P. MORGAN SECURITIES LLC
February 19, 1986 - February 10, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| CAUMARTIN, RENAUD PHILIPPE | SENIOR MANAGING DIRECTOR | 3266876 |
| MILSTEIN, LAWRENCE JOSHUA | DIRECTOR (06/2009) AND SENIOR MANAGING DIRECTOR (10/2018) | 2279858 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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