Walter A. Harding
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 Alan Harding was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1970. Walter had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 3, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 1995 - September 8, 2014
REALTA EQUITIES, INC.
June 15, 1992 - May 1, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 7, 1988 - June 22, 1992
UBS FINANCIAL SERVICES INC.
July 2, 1984 - July 14, 1988
PRUDENTIAL EQUITY GROUP, LLC
June 26, 1984 - July 9, 1984
LEHMAN BROTHERS INC.
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 9, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
August 23, 1972 - April 25, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 8, 1970 - August 5, 1972
LAIDLAW & CO. INCORPORATED
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 15
Date: 3/9/1988
Foreign Currency Options ExaminationPC
Date: 5/25/1977
AMEX Put and Call ExamSeries 1
Date: 3/17/1969
Registered Representative ExaminationCurrent Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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