Walter L. Clark

Some features on this profile are disabled

CRD#: 1803139

Professional summary

Walter Lee Clark was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Walter is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Walter had worked at 16 firms, which includes WILMINGTON CAPITAL SECURITIES LLC, RIDGEWAY CONGER ADVISORY SERVICES, ADIRONDACK TRADING GROUP LLC, SOUTHEAST INVESTMENTS N.C. INC., NFSG CORPORATION, NEWBRIDGE SECURITIES CORPORATION, SB ADVISORY LLC, IFS SECURITIES, SUMMIT FINANCIAL GROUP INC, SUMMIT BROKERAGE SERVICES INC., WESTROCK ADVISORS INC., PRO-INTEGRITY SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, GRUNTAL & CO. L.L.C., FIRST UNION CAPITAL MARKETS CORP., THE STUART-JAMES COMPANY INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Walt Clark

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 7, 2015 - October 13, 2016

WILMINGTON CAPITAL SECURITIES, LLC

RIA

CRD#: 133839

Columbia, MD

Past

October 26, 2015 - October 13, 2016

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839

Columbia, MD

Past

January 2, 2015 - November 2, 2015

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

NEW WOODSTOCK, NY

Past

September 19, 2014 - October 27, 2015

ADIRONDACK TRADING GROUP LLC

CRD#: 103910

Columbia, MD

Past

July 9, 2014 - September 15, 2014

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

September 23, 2011 - July 14, 2014

NFSG CORPORATION

RIA

CRD#: 130814

COLUMBIA, MD

Past

September 20, 2011 - July 14, 2014

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

COLUMBIA, MD

Past

September 7, 2011 - September 28, 2011

SB ADVISORY, LLC

RIA

CRD#: 154680

COLUMBIA, MD

Past

March 23, 2011 - September 28, 2011

IFS SECURITIES

CRD#: 40375

COLUMBIA, MD

Past

February 25, 2009 - March 24, 2011

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

COLUMBIA, MD

Past

December 12, 2008 - March 24, 2011

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

COLUMBIA, MD

Past

November 8, 2002 - December 15, 2008

WESTROCK ADVISORS, INC.

CRD#: 114338

COLUMBIA, MD

Past

August 30, 2000 - November 11, 2002

PRO-INTEGRITY SECURITIES, INC.

CRD#: 44707

LONGVIEW, TX

Past

December 23, 1999 - September 7, 2000

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

May 9, 1995 - January 11, 2000

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

November 16, 1990 - April 28, 1995

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

July 22, 1988 - November 24, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA

Registered Investment Advisory firm - SEC (7/27/2015 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - SEC (4/6/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/15/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/29/2000

General Securities Principal Examination

Current Firm

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA

Registered Investment Advisory firm - SEC (7/27/2015 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - SEC (4/6/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

666 Old Country Road Suite 505, Garden City, NY 11530

Mailing Address

666 Old Country Road Suite 505, Garden City, NY 11530

Phone number

(516) 750-6200

Established

New York since 11/18/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WILMINGTON CAPITAL SECURITIES, LLC (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WILMINGTON CAPITAL GROUP, INC.	PARENT COMPANY
COLUMBO, JOSEPH DONALD	CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER	823524
DORUSHKIN, RONALD BRETT	CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER	2245185
LEE, DENNIS PETER	CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL	6008539
MIKES, JOHN	PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR	2458544
VITTOR, GREG TODD	FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER	1864219

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 258,250,437

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Walter L. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WILMINGTON CAPITAL SECURITIES, LLC

RIDGEWAY CONGER ADVISORY SERVICES

ADIRONDACK TRADING GROUP LLC

SOUTHEAST INVESTMENTS, N.C., INC.

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

SB ADVISORY, LLC

IFS SECURITIES

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

WESTROCK ADVISORS, INC.

PRO-INTEGRITY SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

GRUNTAL & CO., L.L.C.

FIRST UNION CAPITAL MARKETS CORP.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

WILMINGTON CAPITAL SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/15/1998

Series 63

Date: 10/12/1988

SIE

Date: 10/13/2016

Series 7

Date: 6/18/1988

Series 24

Date: 2/29/2000

Current Firm

WILMINGTON CAPITAL SECURITIES, LLC

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WILMINGTON CAPITAL SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors