David E. 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.
David Earle Walker, who also goes by David Earl Walker, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1993. David had worked at 5 firms and has passed the Series 63, Series 65, Series 6 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
January 25, 2012 - May 8, 2013
PURSHE KAPLAN STERLING INVESTMENTS
November 16, 2011 - May 3, 2013
NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.
December 21, 1999 - February 8, 2001
1717 CAPITAL MANAGEMENT COMPANY
February 14, 1994 - May 19, 1999
FIDELITY BROKERAGE SERVICES LLC
July 20, 1993 - November 23, 1993
MURCHISON INVESTMENT BANKERS, INC.
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
