James T. Walton
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.
James Thomas Walton JR, who also goes by Boo Boo Walton Jr, James Thomas Walton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2014 - July 21, 2015
CAPITAL BROKERAGE CORPORATION
November 4, 2009 - March 22, 2012
CAPITAL BROKERAGE CORPORATION
November 11, 2008 - September 14, 2009
CAPITAL BROKERAGE CORPORATION
September 3, 2008 - November 5, 2008
NYLIFE SECURITIES LLC
August 29, 2006 - August 18, 2008
CAPITAL BROKERAGE CORPORATION
October 1, 2000 - November 1, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 15, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, 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
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
