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Michael Wayne Walker

CRD# 1925866·Registered 1989 - 2017
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Wayne Walker was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1989 - 2017. Michael had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years registered in the securities industry

Current & Past Employments

Past

CLARY INVESTMENT AND INSURANCE PLANNING CORP.Past·CRD# 38654
BD
So. Easton, MA
July 2, 1996 - December 11, 2017
BOLTON GLOBAL CAPITALPast·CRD# 15650
BD
Bolton, MA
August 29, 1990 - August 3, 1995
IDS LIFE INSURANCE COMPANYPast·CRD# 6321
BD
Minneapolis, MN
June 20, 1989 - September 26, 1989
AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363
BD
Minneapolis, MN
June 20, 1989 - September 26, 1989

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Current Firm

CI
CLARY INVESTMENT AND INSURANCE PLANNING CORP.

CLARY FINANCIAL PLANNING CORP. | CLARY INVESTMENT AND INSURANCE PLANNING CORP.

CRD#: 38654 / SEC#: 8-48346
BD
Terminated by SEC on 03/03/2018

Contact Information

Established

Massachusetts since 05/03/1995

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CLARY, ROBERT NICHOLSCCO- COMPLIANCE OFFICIER841187
CLARY, ROBERT NICHOLSPRINCIPAL841187
CLARY, ROBERT NICHOLSPRESIDENT, TREASURER, DIRECTOR841187

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1989About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1989About the Series 7 exam

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CRS (Client Relationship Summary)

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

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