Walter T. Shair
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 Tak Fat Shair was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1989. Walter had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2013 - May 2, 2019
NATIONAL SECURITIES CORPORATION
January 13, 1999 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
January 26, 1996 - January 13, 1999
OSAIC WEALTH, INC.
August 1, 1994 - February 7, 1996
CHEMICAL INVESTMENT SERVICES CORP.
March 14, 1994 - August 1, 1994
IFMG SECURITIES, INC.
June 1, 1992 - March 24, 1994
CITICORP INVESTMENT SERVICES
August 23, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
August 17, 1989 - July 31, 1990
EQUITABLE ADVISORS, LLC
July 18, 1989 - July 31, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
