Eric L. Walker
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.
Eric Lane Walker, who also goes by Eric Lane Walker, Eric Walker, Eric L Walker, Eric L. Walker, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1989. Eric had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2024 - January 6, 2025
ALLWORTH FINANCIAL, L.P.
March 15, 2021 - November 11, 2023
J.P. MORGAN SECURITIES LLC
February 19, 2021 - May 2, 2023
J.P. MORGAN SECURITIES LLC
March 15, 2018 - September 13, 2019
RETIREMENT PLANNERS OF AMERICA
March 27, 2017 - March 1, 2018
CAPITAL ONE ADVISORS, LLC
October 17, 2016 - March 1, 2018
CAPITAL ONE INVESTING, LLC
December 10, 2014 - August 19, 2016
THE MUTUAL FUND RESEARCH CENTER, RESEARCH CENTER
October 30, 2012 - October 24, 2014
ETC BROKERAGE SERVICES, LLC
April 27, 2007 - September 5, 2012
TD AMERITRADE, INC.
April 27, 2007 - September 5, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 27, 2007 - September 5, 2012
TD AMERITRADE, INC.
March 20, 2007 - April 23, 2007
CITIGROUP GLOBAL MARKETS INC.
January 25, 2007 - April 23, 2007
CITIGROUP GLOBAL MARKETS INC.
March 13, 1990 - November 20, 2006
CHARLES SCHWAB & CO., INC.
May 23, 1989 - December 15, 1989
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
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
Series 8
Date: 3/19/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64,930 |
| AUM (Assets Under Management) | $ 25,097,132,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2025 | ||
| 02/05/2025 |
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.
