Walter L. Lindsay
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 L Lindsay, who also goes by Walter L Lindsay Jr, Walter Lindsay, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1989. Walter had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2021 - January 30, 2023
SCHRODER FUND ADVISORS LLC
August 22, 2016 - November 27, 2020
EATON VANCE DISTRIBUTORS, INC.
November 15, 2010 - October 11, 2011
MIDSOUTH CAPITAL, INC.
November 28, 2008 - January 14, 2010
NYLIFE DISTRIBUTORS LLC
December 6, 2007 - November 4, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
January 24, 2006 - November 28, 2006
TRUIST INVESTMENT SERVICES, INC.
January 15, 1992 - January 23, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
June 20, 1989 - January 13, 1992
NATIONAL FINANCIAL SERVICES 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
SCHRODER FUND ADVISORS LLC
CRD#: 24129 / SEC#: , 8-40973
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. | DIRECT OWNER | |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1905741 |
| LANIER, ANGEL | ASSISTANT SECRETARY | 6772355 |
| LOWE, RICHARD JOHN | BOARD MEMBER | 7060365 |
| MARSHALL, DAVID JAMES | AUTHORIZED SIGNATORY | 3070206 |
| MAZZA, CATHERINE ANDREA | PRESIDENT, CHAIR, BOARD MEMBER | 1444025 |
| MUHLBAUM, CARIN FANNY | SECRETARY | 3198495 |
| PATNAIK, SHANAK | CHIEF COMPLIANCE OFFICER | 6184296 |
| SAUER, WILLIAM PETER | BOARD MEMBER | 1622322 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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