Wesley T. 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.
Wesley Todd Walker, who also goes by Walker Todd Wesley, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1986. Wesley had worked at 3 firms and has passed the Series 63, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2009 - November 1, 2010
ROSENBLATT SECURITIES INC.
June 1, 2006 - April 30, 2009
INSTINET, LLC
January 13, 1987 - June 1, 2006
BRIDGE TRADING COMPANY
December 26, 1986 - December 8, 1993
BRIDGE TRADING COMPANY
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
ROSENBLATT SECURITIES INC.
CRD#: 18377 / SEC#: , 8-24255
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
