Stephen T. 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.
Stephen Tobin Walker, who also goes by Stephen Tobin Walker, Tobin Tobin Walker, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 6 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2009 - December 31, 2009
BROKER DEALER FINANCIAL SERVICES CORP.
October 16, 2006 - September 22, 2017
BLACK SWAN ADVISORS, LP
September 23, 2005 - December 7, 2006
THE QUANTITATIVE GROUP, L.P.
July 6, 2004 - October 3, 2006
WFG ADVISORS, LP
July 6, 2004 - October 3, 2006
WFG INVESTMENTS, INC.
January 29, 1997 - July 12, 2004
CITIGROUP GLOBAL MARKETS INC.
January 24, 1997 - July 12, 2004
CITIGROUP GLOBAL MARKETS INC.
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
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
