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Richard C. Walker

Some features on this profile are disabled
CRD#: 1812527
RW

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.

Richard Cameron Walker, who also goes by Cam Walker, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cam Walker

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 6, 2012 - November 15, 2024

MID-MARKET SECURITIES, LLC

BD
CRD#: 126750
MOUNT KISCO, NY
Past

January 7, 2008 - September 7, 2010

BAY MUTUAL FINANCIAL, LLC

RIA
CRD#: 130535
SANTA MONICA, CA
Past

January 4, 2008 - September 7, 2010

BAY MUTUAL FINANCIAL, LLC

BD
CRD#: 130535
SANTA MONICA, CA
Past

September 12, 2003 - January 7, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BEVERLY HILLS, CA
Past

September 12, 2003 - January 7, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BEVERLY HILLS, CA
Past

July 1, 2003 - September 19, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LOS ANGELES, CA
Past

July 1, 2003 - September 19, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 21, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
LOS ANGELES, CA
Past

June 15, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 28, 1991 - June 17, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 15, 1988 - May 14, 1991

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/13/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/18/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/14/1988
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MS
MID-MARKET SECURITIES, LLC
MID-MARKET SECURITIES, LLC

CRD#: 126750 / SEC#: , 8-65905

BD
Terminated by SEC on 01/20/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WIEN, ROBERT WILLIAMPRESIDENT & CEO/GSP/CCO/FINOP2289694

Disclosures

Regulatory Event2

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.

Company Information

MID-MARKET SECURITIES, LLC

CRD#: 126750

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