Leo D. Walter
Professional summary
Leo Douglas Walter was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leo is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Leo had worked at 3 firms, which includes THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., FIDELITY EQUITY SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 1993 - January 22, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 18, 1993 - January 22, 1998
OSAIC FA, INC.
July 31, 1990 - May 19, 1992
FIDELITY EQUITY SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
CRD#: 2580 / SEC#: , 8-13034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN NATIONAL CORPORATION | HOLDING COMPANY | |
| CRAWFORD, FREDRICK JOHN | CHIEF FINANCIAL OFFICER, DIRECTOR | 4443207 |
| FREDERICK, CHRISTINE SPENCER | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2641636 |
| GLASS, DENNIS R | PRESIDENT, DIRECTOR | 2897098 |
| KONEN, MARK E | DIRECTOR | 5150090 |
| QUEK, SEE YENG | DIRECTOR | 1938493 |
| RYAN, KEITH JAMES | VICE PRESIDENT AND DIRECTOR | 2709700 |
Disclosures
| Regulatory Event | 14 |
Red Flags
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