Steve B. Walton
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.
Steve Bradley Walton, who also goes by Steve Walton, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2007. Steve had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - October 20, 2023
INVESTMENT DISTRIBUTORS, INC.
September 26, 2018 - January 3, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 20, 2017 - July 12, 2018
CETERA INVESTMENT SERVICES LLC
February 23, 2016 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
December 14, 2015 - December 23, 2015
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 23, 2011 - December 15, 2015
BROKER DEALER FINANCIAL SERVICES CORP.
December 5, 2007 - January 3, 2011
LIBERTY LIFE SECURITIES LLC
May 7, 2007 - December 31, 2007
LIBERTY LIFE DISTRIBUTORS LLC
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
Current Firm
INVESTMENT DISTRIBUTORS, INC.
CRD#: 35490 / SEC#: , 8-46802
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT COMPANY | |
| CARLSON, MARTHA L | DESIGNATED RESPONSIBLE LICENSED PRODUCER | 2731502 |
| COFFMAN, BENJAMIN PAUL | CHIEF FINANCIAL OFFICER | 6738662 |
| COLLAZO, KIMBERLY | ASSISTANT SECRETARY | 8075061 |
| CREUTZMANN, SCOTT EMIL | DIRECTOR | 5351383 |
| LANE, JAMIE LAURA | DIRECTOR | 5779720 |
| LEE, FELICIA MALLOCH | SECRETARY | 7498538 |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
| MORSCH, LETITIA A | DIRECTOR & ASSISTANT SECRETARY | 5133531 |
| TENNENT, RAYBURN EDWARD | SR ANALYST FINANCIAL REPORTING | 6245099 |
| WAGNER, JAMES CARL JR | PRESIDENT & DIRECTOR | 4261922 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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