Jon P. Walker

CASTLEOAK SECURITIES, LP

NEW YORK, NY 10281

Some features on this profile are disabled

CRD#: 2125927

Professional summary

Jon Patrick Walker, who also goes by Jon Walker, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.

Jon is registered as a RR (Registered Representative) and started their career in finance in 1991. Jon has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon Walker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jon Patrick Walker's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 25, 2025 - Present

CASTLEOAK SECURITIES, LP

Office #1: 200 Vesey St. Fl 04, New York, NY 10281Office #2: 200 Vesey Street Fl 04, New York, NY 10281

CRD#: 125334

NEW YORK, NY

Past

June 5, 2015 - April 9, 2024

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

STAMFORD, CT

Past

October 3, 2011 - June 5, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEW YORK, NY

Past

February 16, 2011 - September 15, 2011

CITADEL SECURITIES LLC

CRD#: 116797

NEW YORK, NY

Past

February 24, 2009 - February 15, 2011

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

September 22, 2008 - November 20, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

February 7, 1991 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

February 7, 1991 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

February 7, 1991 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/26/2025)

Alaska
(2/26/2025)

Arizona
(2/26/2025)

Arkansas
(2/26/2025)

California
(2/26/2025)

Colorado
(2/26/2025)

Connecticut
(2/26/2025)

Delaware
(2/26/2025)

District of Columbia
(2/26/2025)

Florida
(2/26/2025)

Georgia
(2/26/2025)

Illinois
(2/26/2025)

Indiana
(2/26/2025)

Kansas
(2/26/2025)

Kentucky
(2/26/2025)

Louisiana
(2/26/2025)

Maine
(2/26/2025)

Maryland
(2/26/2025)

Massachusetts
(2/26/2025)

Michigan
(2/26/2025)

Minnesota
(2/26/2025)

Mississippi
(2/26/2025)

Missouri
(2/26/2025)

Nevada
(2/26/2025)

New Hampshire
(2/26/2025)

New Jersey
(2/26/2025)

New Mexico
(2/26/2025)

New York
(2/25/2025)

North Carolina
(2/26/2025)

Ohio
(2/28/2025)

Oklahoma
(2/26/2025)

Oregon
(2/26/2025)

Pennsylvania
(2/26/2025)

Rhode Island
(2/26/2025)

South Carolina
(2/26/2025)

Tennessee
(2/26/2025)

Texas
(2/26/2025)

Utah
(2/26/2025)

Vermont
(2/26/2025)

Virginia
(2/26/2025)

Washington
(2/26/2025)

West Virginia
(2/26/2025)

Wisconsin
(2/26/2025)

Exams

State Security Law Exam

Series 63

Date: 5/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/25/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/1/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP

CRD#: 125334 / SEC#: , 8-65786

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 Vesey Street Fl 04, New York, NY 10281

Mailing Address

200 Vesey St Fl 04, New York, NY 10281

Phone number

(646) 521-6700

Established

Delaware since 07/01/2004

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
JONES, DAVID RODERICK	CHIEF EXECUTIVE OFFICER	2389684
CASTLEOAK MANAGEMENT, LLC	GENERAL PARTNER
GOMEZ, LUIS J	FINOP AND PRINCIPAL FINANCIAL OFFICER	4974439
IPPOLITO, PHILIP	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1072137
SKINNER, JEFFREY THOMAS	SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	4078336

Disclosures

Regulatory Event	2
Civil Event	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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jon P. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jon Patrick Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STERNE, AGEE & LEACH, INC.

CITADEL SECURITIES LLC

CHAPDELAINE TULLETT PREBON, LLC

BARCLAYS CAPITAL INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/1991

SIE

Date: 10/1/2018

Series 3

Date: 4/25/1991

Series 7

Date: 4/1/1991

Series 24

Date: 7/29/2011

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CASTLEOAK SECURITIES, LP

TRUST BUT VERIFY

Similar Advisors