Steven C. Walley
Professional summary
Steven Charles Walley is a registered financial professional currently at WALL STREET ACCESS located in Park Ridge, New Jersey.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Charles Walley's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2018 - Present
WALL STREET ACCESS
Office #1: One Maynard Drive Suite 2201, Park Ridge, NJ 07656January 15, 2014 - July 2, 2018
VANDHAM SECURITIES CORP.
February 14, 2012 - July 20, 2012
SARATOGA CAPITAL MARKETS
November 1, 2010 - January 11, 2012
WJB CAPITAL GROUP, INC.
December 18, 2009 - November 17, 2010
ECHOTRADE LLC
October 16, 2009 - November 5, 2009
ECHOTRADE LLC
January 2, 2009 - August 28, 2009
G-2 TRADING,LLC
November 9, 2004 - March 16, 2007
HSBC SECURITIES (USA) INC.
June 30, 2003 - November 11, 2004
UBS CAPITAL MARKETS L.P.
April 10, 1996 - June 6, 2003
J.P. MORGAN SECURITIES LLC
October 7, 1994 - March 27, 1996
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/2/2018)
(7/2/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/1/1999
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
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