WK
Walter Koller
ROBINHOOD FINANCIAL
New York, NY 10014
Some features on this profile are disabled
CRD#: 1932260
WK
Professional summary
Walter Koller, who also goes by Walter Joseph Koller, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in New York, New York.
Walter is registered as a RR (Registered Representative) and started their career in finance in 1989. Walter has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Walter Joseph Koller
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.
CRS (Client Relationship Summary) - BD
Click below to view Walter Koller'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
October 5, 2021 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 413 West 14th Street 3rd And 4th Floor, New York, NY 10014BD
CRD#: 165998
New York, NY
Past
April 3, 2012 - September 28, 2021
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
January 6, 2010 - May 24, 2010
OSCAR GRUSS & SON INCORPORATED
BD
CRD#: 2091
NEW YORK, NY
Past
November 28, 2005 - January 4, 2008
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
August 22, 1989 - October 18, 2005
NF CLEARING, INC.
BD
CRD#: 14285
PHILADELPHIA, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/25/2024)
RR
Alaska(7/25/2024)
RR
Arizona(7/25/2024)
RR
Arkansas(7/25/2024)
RR
California(7/25/2024)
RR
Colorado(7/25/2024)
RR
Connecticut(7/25/2024)
RR
Delaware(7/25/2024)
RR
District of Columbia(7/25/2024)
RR
Florida(7/25/2024)
RR
Georgia(7/25/2024)
RR
Hawaii(7/25/2024)
RR
Idaho(7/25/2024)
RR
Illinois(7/25/2024)
RR
Indiana(7/25/2024)
RR
Iowa(7/25/2024)
RR
Kansas(7/25/2024)
RR
Kentucky(7/25/2024)
RR
Louisiana(7/25/2024)
RR
Maine(7/25/2024)
RR
Maryland(7/25/2024)
RR
Massachusetts(7/25/2024)
RR
Michigan(7/25/2024)
RR
Minnesota(7/25/2024)
RR
Mississippi(7/25/2024)
RR
Missouri(7/25/2024)
RR
Montana(7/25/2024)
RR
Nebraska(7/25/2024)
RR
Nevada(7/25/2024)
RR
New Hampshire(7/25/2024)
RR
New Jersey(7/25/2024)
RR
New Mexico(7/25/2024)
RR
New York(10/5/2021)
RR
North Carolina(7/25/2024)
RR
North Dakota(7/25/2024)
RR
Ohio(7/25/2024)
RR
Oklahoma(7/25/2024)
RR
Oregon(7/25/2024)
RR
Pennsylvania(7/25/2024)
RR
Puerto Rico(7/25/2024)
RR
Rhode Island(7/25/2024)
RR
South Carolina(7/25/2024)
RR
South Dakota(7/25/2024)
RR
Tennessee(7/25/2024)
RR
Texas(7/25/2024)
RR
Utah(7/25/2024)
RR
Vermont(7/25/2024)
RR
Virgin Islands(7/25/2024)
RR
Virginia(7/25/2024)
RR
Washington(7/25/2024)
RR
West Virginia(7/25/2024)
RR
Wisconsin(7/25/2024)
RR
Wyoming(7/25/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
