John J. Walker
Professional summary
John Jeffrey Walker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, John had worked at 5 firms, which includes R. H. YORK & COMPANY INC., UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., ADVEST INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 1996 - June 27, 1997
R. H. YORK & COMPANY, INC.
January 6, 1992 - October 7, 1995
UBS FINANCIAL SERVICES INC.
November 1, 1990 - January 21, 1992
LEHMAN BROTHERS INC.
December 1, 1989 - November 1, 1990
ADVEST, INC.
June 24, 1987 - November 10, 1989
THE STUART-JAMES COMPANY, INCORPORATED
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
R. H. YORK & COMPANY, INC.
CRD#: 30099 / SEC#: , 8-44693
Contact information
Documents
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.
