Walter T. Black
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.
Walter Thomas Black, who also goes by Walter Thoms Black, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1970. Walter had worked at 10 firms and has passed the Series 63 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 1988 - September 23, 1989
ADVENT SECURITIES, INC.
August 16, 1988 - September 2, 1988
FIRST UNITED SECURITIES GROUP OF CALIFORNIA
October 5, 1987 - November 12, 1987
MARSHALL DAVIS, INC.
January 1, 1987 - August 15, 1987
LEHMAN BROTHERS INC.
June 30, 1986 - December 15, 1986
TROSTER SINGER CORPORATION
June 7, 1985 - April 17, 1986
MONTGOMERY SECURITIES
October 31, 1984 - May 16, 1985
BOETTCHER & COMPANY, INC.
July 18, 1973 - November 9, 1984
B. J. LEONARD AND COMPANY, INC.
June 21, 1971 - August 12, 1973
SKYLINE SECURITIES CORPORATION
September 16, 1970 - April 16, 1971
CENTRAL SECURITIES CORPORATION
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
Series 00
Date: 4/11/1969
General Securities Principal ExaminationCurrent Firm
ADVENT SECURITIES, INC.
CRD#: 16499 / SEC#: , 8-33754
Contact information
Documents
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.
