Charles W. 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.
Charles William Walker, who also goes by Charles William Walker Mr., Charlie Walker, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 9 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
September 29, 2015 - July 1, 2016
ALLSTATE FINANCIAL SERVICES, LLC
May 1, 2006 - June 13, 2014
CUSO FINANCIAL SERVICES, L.P.
May 1, 2006 - May 20, 2014
CUSO FINANCIAL SERVICES, L.P.
March 28, 2006 - June 8, 2006
LAWING FINANCIAL INC
March 21, 2006 - May 5, 2006
THE O.N. EQUITY SALES COMPANY
September 17, 2002 - October 18, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
March 12, 2001 - October 18, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
March 22, 1999 - March 14, 2001
INVEST FINANCIAL CORPORATION
March 9, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 14, 1997 - March 13, 1998
UBS FINANCIAL SERVICES INC.
February 11, 1994 - June 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
