PW
Phillip A. Walker
TONY WALKER FINANCIAL
Bowling Green, KY 42101
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CRD#: 1903416
PW
Professional summary
Phillip Anthony Walker, who also goes by Phillip A Walker, Tony Walker, is a registered financial advisor currently at TONY WALKER FINANCIAL located in Bowling Green, Kentucky.
Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Phillip has worked at 4 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phillip A Walker | Tony 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.
1) Phillip A. Walker is the president of WorryFree, Inc. which was incorporated in August, 2014. This non investment-related media and marketing firm focusing on implementing marketing plans through television, radio, internet and print media as well as marketing training for members of the WorryFree Retirement Network. Mr. Walker devotes approximately 20 hours per month on WorryFree, Inc. They balance of his time is dedicated to Walker Financial Services, Inc.
2) 08/1996 Independent Licensed Insurance Agent; Lexington, KY; investment related; Life & Health Licensed
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Anthony Walker'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 12, 2010 - Present
TONY WALKER FINANCIAL
Office #1: 2451 Industrial Drive, Bowling Green, KY 42101Office #2: 8303 Shelbyville Rd, Louisville, KY 40222RIA
CRD#: 145457
Bowling Green, KY
Past
September 5, 1991 - February 21, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
November 30, 1989 - September 5, 1991
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
March 6, 1989 - November 27, 1989
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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".
TW
TONY WALKER FINANCIAL
DBA TONY WALKER FINANCIAL | WALKER FINANCIAL SERVICES, INC. | WALKER FINANCIAL SERVICES | TONY WALKER FINANCIAL | DBA TONYWALKERFINANCIAL.COM
CRD#: 145457 / SEC#: 801-120466
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)Florida
Registered Investment Advisory firm - (3/12/2021 Terminated)Indiana
Registered Investment Advisory firm - (3/12/2021 Terminated)Kentucky
Registered Investment Advisory firm - (3/12/2021 Terminated)Louisiana
Registered Investment Advisory firm - (3/15/2021 Terminated)Tennessee
Registered Investment Advisory firm - (4/11/2021 Terminated)Texas
Registered Investment Advisory firm - (3/12/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Kentucky(2/12/2010)
IAR
Texas(10/31/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TW
TONY WALKER FINANCIAL
DBA TONY WALKER FINANCIAL | WALKER FINANCIAL SERVICES, INC. | WALKER FINANCIAL SERVICES | TONY WALKER FINANCIAL | DBA TONYWALKERFINANCIAL.COM
CRD#: 145457 / SEC#: 801-120466
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)Florida
Registered Investment Advisory firm - (3/12/2021 Terminated)Indiana
Registered Investment Advisory firm - (3/12/2021 Terminated)Kentucky
Registered Investment Advisory firm - (3/12/2021 Terminated)Louisiana
Registered Investment Advisory firm - (3/15/2021 Terminated)Tennessee
Registered Investment Advisory firm - (4/11/2021 Terminated)Texas
Registered Investment Advisory firm - (3/12/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2451 Industrial Drive, Bowling Green, KY 42101
Mailing Address
Phone number
(270) 843-9380
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,711 |
| AUM (Assets Under Management) | $ 312,825,099 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TONY WALKER FINANCIAL
CRD#: 145457Bowling Green, KY 42101TRUST BUT VERIFY
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