Walter W. Light
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.
Walter Waitak Light, who also goes by Walter Wai Tak Light, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1986. Walter had worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2003 - February 14, 2022
TREASURE FINANCIAL CORP.
January 26, 1989 - December 31, 2001
LIGHT SECURITIES
January 4, 1989 - April 17, 1989
FIRST AMERICA EQUITIES CORP.
February 17, 1988 - December 31, 1988
PFG SECURITIES, INC.
September 9, 1986 - March 16, 1988
EMMETT A LARKIN COMPANY, INC.
May 6, 1986 - August 27, 1986
SUTRO & CO. 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
TREASURE FINANCIAL CORP.
CRD#: 38323 / SEC#: , 8-48165
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
