Brian E. 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.
Brian Edward Walker was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2012 - December 8, 2015
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
February 13, 1997 - April 21, 1999
ROBERTSON STEPHENS, 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
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
CRD#: 152920 / SEC#: , 8-68490
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
