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Gary Douglas Walk

CRD# 2291174·Registered 1993 - 1997
Previously Registered: Being a previously registered professional could mean that Gary 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.

Professional Summary

Gary Douglas Walk was a registered financial advisor. Gary was a previously registered financial professional and started their career in finance 1993 - 1997. Gary had worked at 11 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

ALLEN DOUGLAS SECURITIES, INC.·CRD# 42410
BD
Winter Park, FL
October 23, 1997 - November 24, 1997
FAS WEALTH MANAGEMENT SERVICES, INC.·CRD# 10164
BD
Sarasota, FL
July 16, 1997 - November 4, 1997
BARRON CHASE SECURITIES, INC.·CRD# 18969
BD
Boca Raton, FL
December 13, 1996 - July 1, 1997
SAPERSTON FINANCIAL INC.·CRD# 27863
BD
Buffalo, NY
August 14, 1996 - December 20, 1996
NATIONWIDE SECURITIES CORPORATION·CRD# 29720
BD
Valrico, FL
January 11, 1996 - May 1, 1996
VISION INVESTMENT GROUP, INC.·CRD# 28135
BD
November 14, 1995 - July 17, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC·CRD# 11025
BD
St. Louis, MO
October 27, 1994 - November 1, 1995
PARAGON CAPITAL MARKETS, INC.·CRD# 18555
BD
East Hanover, NJ
February 22, 1994 - November 1, 1994
ROBERT TODD FINANCIAL CORP.·CRD# 7423
BD
New York, NY
January 10, 1994 - April 14, 1994
YAEGER SECURITIES, INC.·CRD# 10118
BD
September 9, 1993 - December 2, 1993
PARAGON CAPITAL MARKETS, INC.·CRD# 18555
BD
East Hanover, NJ
April 5, 1993 - August 27, 1993
CHATFIELD DEAN & CO., INC.·CRD# 14714
BD
Greenwood Village, CO
January 19, 1993 - March 31, 1993

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Current Firm

AD
ALLEN DOUGLAS SECURITIES, INC.

ALLEN DOUGLAS SECURITIES, INC.

CRD#: 42410 / SEC#: 8-49831
BD
Terminated by SEC on 01/03/2005

Contact Information

Established

Florida since 09/26/1996

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICAN TRADING & BROKERAGE, INC.SHAREHOLDER—
MATTHEWS, DAVID WALTON JRCOMPLIANCE OFFICER, SROP, CROP, ROP323097
PIZZUTI, STEPHEN DOUGLASPRESIDENT1461660
THOMES, MARK ALANCFO, FINOP, MUNI PRIN2157459

Disclosures

Regulatory Event

4

Arbitration

5

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1993About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1993About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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