Anthony J. 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.
Anthony John Walton, who also goes by Tony Walton, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1987. Anthony had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2018 - October 11, 2018
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
August 4, 2008 - August 1, 2017
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
April 7, 2005 - June 4, 2008
ECOBAN SECURITIES CORPORATION
May 6, 1999 - February 2, 2005
MCFARLAND DEWEY SECURITIES CO., LLC
October 24, 1996 - March 16, 1998
BROKER DEALER FINANCIAL SERVICES CORP.
May 12, 1994 - June 25, 1996
LLAMA COMPANY
July 25, 1987 - August 24, 1990
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
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
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
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.
