Kirk J. Walske
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.
Kirk Jon Walske was a registered financial professional .
Kirk is a previously registered financial professional and started their career in finance in 1988. Kirk had worked at 8 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2011 - March 2, 2015
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
May 31, 2011 - October 1, 2026
WELLS FARGO SECURITIES, LLC
June 4, 2010 - April 14, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
April 13, 2000 - September 8, 2008
BANC OF AMERICA SECURITIES LLC
October 1, 1998 - July 13, 1999
BANC OF AMERICA SECURITIES LLC
October 1, 1993 - October 1, 1998
BANCAMERICA SECURITIES, INC.
September 9, 1993 - October 1, 1993
BA INVESTMENT SERVICES, INC.
May 31, 1990 - April 29, 1993
MORGAN STANLEY DW INC.
November 16, 1988 - April 20, 1990
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
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
What does exam status mean?
Series 99TO
Passed: 1/2/2023
Operations Professional ExaminationCurrent Firm
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
CRD#: 5958 / SEC#: , 8-16600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO GAMING CAPITAL, LLC. | PARENT | |
| ALTAMURA, VINCENT | SECRETARY | 5794473 |
| DEROCHI, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER | 2072858 |
| HIGHUM, JON ALAN | PRESIDENT | 1848219 |
| MULLINS, TIMOTHY PAUL | DIRECTOR | 1591930 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER | 724703 |
| PRIMAVERA, TODD GERALD | CHIEF OPERATIONS OFFICER | 2416001 |
| WEISS, JONATHAN GEOFFREY | DIRECTOR | 2362764 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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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