William C. Walker

CRD#: 1465509

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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.

William Craig Walker, CFP®, who also goes by Craig Walker, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1986. William had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 24 and Series 51 exams.

Biography

Craig provides personalized wealth management solutions for affluent families, corporate executives and business owners. He works with clients to define their goals and values, and then designs, implements and monitors customized plans to help them reach those goals. In addition, he provides directional leadership to the advisors and associates in our Newport Beach office.

Prior to joining Mariner Wealth Advisors, from 1997-2022 Craig was president and chief investment officer of Walker Wealth, where he was responsible for discretionary portfolio strategy and management as well as all operational aspects of the firm.

Craig has a Bachelor of Arts degree from the University of California Irvine. He also is a graduate of the Investment Management Analyst Program at the Wharton School, University of Pennsylvania.

Question & Answer

What are your service offerings?

Tax Planning

Divorce Planning

Retirement Planning

Employee and Employer Plan Ben...

Comprehensive Financial Planni...

Investment Planning

Retirement Income Management

Business Succession Planning

Estate Planning

Insurance Planning

Are you a "fiduciary"?

Aliases

Craig Walker

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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Past

February 28, 2023 - June 9, 2026

MARINER WEALTH

RIA

CRD#: 140195

Reno, NV

Past

November 18, 2019 - April 4, 2023

WC WALKER & ASSOCIATES, INC.

RIA

CRD#: 305814

FULLERTON, CA

Past

January 2, 2009 - April 9, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

FULLERTON, CA

Past

November 4, 2004 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

FULLERTON, CA

Past

January 4, 1999 - April 9, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

FULLERTON, CA

Past

May 12, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

December 20, 1993 - May 12, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 16, 1990 - January 14, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 9, 1987 - February 24, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

February 19, 1986 - December 17, 1987

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MARINER WEALTH

CRD#: 140195 / SEC#: 801-66632

RIA

Registered Investment Advisory firm - (4/24/2006 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/26/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/15/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/26/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/15/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 2/15/2024

Municipal Fund Securities Principal Examination

Current Firm

MARINER WEALTH

CRD#: 140195 / SEC#: 801-66632

RIA

Registered Investment Advisory firm - (4/24/2006 Approved)

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Contact information

Main Address

5700 W. 112th Street Suite 500, Overland Park, KS 66211

Mailing Address

Phone number

(913) 904-5700

Established

Firm type

Fiscal year end

# of Employees

1,503

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARINER ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	155,767
AUM (Assets Under Management)	$ 98,603,233,201

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
11/19/2024	Cover Page	Report
12/21/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

William C. Walker

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WC WALKER & ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

FIRST AFFILIATED SECURITIES, INC.

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/1994

Series 63

Date: 5/12/1992

Series 7TO

Date: 2/15/2024

SIE

Date: 10/1/2018

Series 3

Date: 1/26/1988

Series 7

Date: 2/15/1986

Series 24

Date: 2/15/2024

Series 51

Date: 2/15/2024

Current Firm

MARINER WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MARINER WEALTH

TRUST BUT VERIFY

Contact information

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