Douglas R. Walker
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.
Douglas Richard Walker, who also goes by Christopher Walker, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1986. Douglas had worked at 6 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2021 - September 3, 2025
DV EQUITIES
September 28, 2020 - August 30, 2021
DV SECURITIES, LLC
January 31, 2011 - September 25, 2020
LUPO SECURITIES, LLC
July 20, 1988 - October 11, 1989
YOUNG, SMITH & PEACOCK, INC.
August 11, 1986 - June 2, 1988
CITIGROUP GLOBAL MARKETS INC.
April 25, 1986 - July 31, 1986
SECURITIES NETWORK, INC.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
DV EQUITIES
CRD#: 312688 / SEC#: , 8-70659
Contact information
Documents
Red Flags
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