JW
Jeffrey K. Walters
CSP SECURITIES, LP
Dallas, TX 75240
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CRD#: 1695031
JW
Professional summary
Jeffrey King Walters is a registered financial professional currently at CSP SECURITIES, LP located in Dallas, Texas and MIZUHO SECURITIES USA LLC located in Dallas, Texas.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1987. Jeffrey has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey King Walters's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 6, 2008 - Present
CSP SECURITIES, LP
Office #1: 13355 Noel Road Suite 1600, Dallas, TX 75240BD
CRD#: 136941
Dallas, TX
Current
July 14, 2023 - Present
MIZUHO SECURITIES USA LLC
Office #1: 13355 Noel Road Suite 1600, Dallas, TX 75240BD
CRD#: 19647
Dallas, TX
Past
October 20, 2004 - May 31, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
February 10, 1997 - May 31, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
June 23, 1987 - December 17, 1996
SCHRODER & CO. INC.
BD
CRD#: 6112
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/14/2023)
RR
Alaska(8/11/2024)
RR
Arizona(7/14/2023)
RR
Arkansas(7/14/2023)
RR
California(7/14/2023)
RR
Colorado(5/27/2009)
RR
Connecticut(7/14/2023)
RR
Delaware(7/14/2023)
RR
District of Columbia(7/14/2023)
RR
Florida(7/14/2023)
RR
Georgia(5/27/2009)
RR
Hawaii(7/14/2023)
RR
Idaho(7/14/2023)
RR
Illinois(5/27/2009)
RR
Indiana(5/27/2009)
RR
Iowa(5/27/2009)
RR
Kansas(7/14/2023)
RR
Kentucky(5/27/2009)
RR
Louisiana(7/14/2023)
RR
Maine(7/14/2023)
RR
Maryland(7/14/2023)
RR
Massachusetts(8/11/2024)
RR
Michigan(5/27/2009)
RR
Minnesota(5/27/2009)
RR
Mississippi(5/27/2009)
RR
Missouri(5/27/2009)
RR
Montana(7/14/2023)
RR
Nebraska(5/27/2009)
RR
Nevada(8/11/2024)
RR
New Hampshire(7/14/2023)
RR
New Jersey(7/14/2023)
RR
New Mexico(7/14/2023)
RR
New York(2/25/2008)
RR
North Carolina(11/5/2025)
RR
North Dakota(5/27/2009)
RR
Ohio(5/28/2009)
RR
Oklahoma(5/27/2009)
RR
Oregon(5/11/2016)
RR
Pennsylvania(5/27/2009)
RR
Puerto Rico(7/14/2023)
RR
Rhode Island(7/14/2023)
RR
South Carolina(7/14/2023)
RR
South Dakota(5/27/2009)
RR
Tennessee(8/3/2009)
RR
Texas(2/6/2008)
RR
Utah(8/11/2024)
RR
Vermont(7/14/2023)
RR
Virginia(8/11/2024)
RR
Washington(7/14/2023)
RR
West Virginia(8/11/2024)
RR
Wisconsin(5/27/2009)
RR
Wyoming(7/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MS
MIZUHO SECURITIES USA LLC
FUJI SECURITIES INC. | MIZUHO SECURITIES USA LLC | MIZUHO SECURITIES USA INC. | KLEINWORT BENSON GOVERNMENT SECURITIES, INC.
CRD#: 19647 / SEC#: , 8-37710
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1271 Avenue Of The Americas, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 209-9300
Established
Delaware since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIZUHO AMERICAS LLC | DIRECT OWNER | |
| BUCHANAN, JOHN ROBERT | MANAGING DIRECTOR/CHIEF OPERATING OFFICER | 1765774 |
| BUSQUET, JACQUES JEAN | DIRECTOR | 3227628 |
| CALLAN MONTELLA, ERIN MARIE | DIRECTOR | 2938656 |
| CONSIDINE, JILL MARIE | DIRECTOR | 5948267 |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| HARTNETT, THOMAS WALTER TIMOTHY | MANAGING DIRECTOR & HEAD OF SALES & TRADING | 3278880 |
| HERRLE, LOUISE MARY | DIRECTOR | 5868706 |
| HOPKINS, ADAM RICHARD | MANAGING DIRECTOR & GENERAL COUNSEL | 5512590 |
| KATZ, MICHAL NMI | MANAGING DIRECTOR & HEAD OF INVESTMENT BANKING | 2813944 |
| KUROSAWA, TATSUYA NMI | DIRECTOR | 8100550 |
| MARTINO, MICHAEL BENEDICT | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 4420944 |
| MATSUURA, SHUJI NMI | DIRECTOR & CHAIRMAN | 7375457 |
| MURPHY, JOHN MAC | MANAGING DIRECTOR & HEAD OF FUTURES DIVISION | 1488471 |
| PASQUILL, DARLENE NMI | MANAGING DIRECTOR & HEAD OF EQUITY | 2505982 |
| RIZZIERI, GERALD ANTHONY | PRESIDENT & CHIEF EXECUTIVE OFFICER/DIRECTOR | 1751181 |
| SHIRAISHI, SHIRO NMI | DIRECTOR | 8100597 |
| SKOLLER, RICHARD MARK | SECRETARY | 6663407 |
| TATE, SEIJI NMI | DIRECTOR | 8077227 |
| WONG, DAVID TAI WAI | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4245078 |
| YONEZAWA, TAKEFUMI NMI | DIRECTOR | 8100586 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
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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Company Information
MIZUHO SECURITIES USA LLC
CRD#: 19647Dallas, TX 75240TRUST BUT VERIFY
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