Arlene J. 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.
Arlene J Walker, who also goes by Arlene Walker, was a registered financial professional .
Arlene is a previously registered financial professional and started their career in finance in 1992. Arlene had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2013 - October 24, 2017
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - October 24, 2017
RAYMOND JAMES & ASSOCIATES, INC.
August 8, 2008 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
August 8, 2008 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
October 25, 2006 - August 11, 2008
EDWARD JONES
September 22, 1999 - August 11, 2008
EDWARD JONES
January 22, 1999 - September 24, 1999
A. G. EDWARDS & SONS, INC.
January 1, 1998 - January 26, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 15, 1997 - January 1, 1998
NATIONSSECURITIES
February 12, 1996 - October 15, 1997
BOATMEN'S INVESTMENT SERVICES OF ARKANSAS, INC.
February 16, 1995 - August 20, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
December 12, 1994 - February 23, 1995
ST. BERNARD FINANCIAL SERVICES, INC.
August 26, 1994 - December 14, 1994
VOYA FINANCIAL ADVISORS, INC.
November 16, 1992 - August 31, 1994
IDS LIFE INSURANCE COMPANY
November 16, 1992 - August 31, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
