Nicholas W. Waltner
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.
Nicholas Warren Waltner was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1987. Nicholas had worked at 6 firms and has passed the Series 66, Series 63, Series 3 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
February 24, 2011 - March 14, 2011
WHITEPOINT CAPITAL MANAGEMENT, LLC
April 9, 2003 - December 31, 2009
MADISON PARK CAPITAL PARTNERS, LLC
April 9, 2003 - February 23, 2016
MADISON PARK CAPITAL PARTNERS, LLC
October 16, 2000 - October 8, 2002
BANC OF AMERICA SECURITIES LLC
September 1, 1998 - May 31, 2000
CITIGROUP GLOBAL MARKETS INC.
October 5, 1992 - September 1, 1998
SALOMON BROTHERS INC.
February 26, 1987 - July 11, 1988
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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