Walter K. Mcnulty
Professional summary
Walter Kathmann Mcnulty, who also goes by Walter K Mcnulty, is a registered financial professional currently at STONEX FINANCIAL INC. located in Stamford, Connecticut.
Walter is registered as a RR (Registered Representative) and started their career in finance in 1991. Walter has worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Walter Kathmann Mcnulty's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 1, 2019 - Present
STONEX FINANCIAL INC.
Office #1: 850 Canal Street 3rd Floor, Stamford, CT 06902May 8, 2013 - May 1, 2019
INTL FCSTONE CREDIT TRADING LLC
April 18, 2005 - April 3, 2013
JEFFERIES LLC
July 1, 2003 - October 1, 2004
WELLS FARGO SECURITIES, LLC
June 1, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 13, 1993 - June 1, 2000
FORUM CAPITAL MARKETS LLC
April 19, 1991 - December 22, 1992
MCMAHAN SECURITIES CO. L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/1/2019)
(11/18/2024)
(5/1/2019)
(5/1/2019)
(1/4/2022)
(1/4/2022)
(5/1/2019)
(5/1/2019)
(1/4/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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