Stephen R. Walling
Professional summary
Stephen Robert Walling was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Stephen had worked at 8 firms, which includes CUMBERLAND BROKERAGE CORPORATION, CANTONE RESEARCH INC., FIRST MONTAUK SECURITIES CORP., INVESTORS ASSOCIATES INC., CITIGROUP GLOBAL MARKETS INC., CHATFIELD DEAN & CO. INC., A. T. BROD & CO. INC., STATE CAPITAL MARKETS CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2001 - March 23, 2001
CUMBERLAND BROKERAGE CORPORATION
November 30, 2000 - February 9, 2001
CANTONE RESEARCH INC.
June 20, 1997 - November 27, 2000
FIRST MONTAUK SECURITIES CORP.
February 20, 1997 - June 20, 1997
INVESTORS ASSOCIATES, INC.
March 7, 1996 - February 19, 1997
FIRST MONTAUK SECURITIES CORP.
November 13, 1995 - March 12, 1996
CITIGROUP GLOBAL MARKETS INC.
April 4, 1995 - August 30, 1995
CHATFIELD DEAN & CO., INC.
March 10, 1995 - April 6, 1995
A. T. BROD & CO. INC.
February 28, 1995 - March 27, 1995
STATE CAPITAL MARKETS CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
CUMBERLAND BROKERAGE CORPORATION
CRD#: 13409 / SEC#: , 8-42993
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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