Walter F. Squires
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.
Walter Frank Squires JR, who also goes by Walter F Jr Squires, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1994. Walter had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2020 - February 9, 2024
OSAIC INSTITUTIONS, INC.
February 21, 2020 - February 9, 2024
OSAIC INSTITUTIONS, INC.
October 11, 2011 - March 17, 2020
LPL FINANCIAL LLC
October 11, 2011 - March 17, 2020
LPL FINANCIAL LLC
January 17, 2008 - May 7, 2010
LPL FINANCIAL LLC
February 13, 2007 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 13, 2007 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
November 2, 2000 - February 13, 2007
WEBSTER INVESTMENT SERVICES, INC.
May 4, 2000 - February 13, 2007
WEBSTER INVESTMENT SERVICES, INC.
January 26, 2000 - May 2, 2000
BANKBOSTON INVESTOR SERVICES, INC.
May 14, 1998 - May 2, 2000
FIS SECURITIES, INC.
August 26, 1996 - May 26, 1998
NYLIFE SECURITIES LLC
August 8, 1995 - August 9, 1996
MML INVESTORS SERVICES, LLC
October 24, 1994 - May 24, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 24, 1994 - May 24, 1995
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
Current Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 9 |
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.
