Walter Garbacik
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 Garbacik, who also goes by Walter J (jr) Garbacik, Walter John Garbacik Jr, Walter John Garbacik, Walter John Garbacki Jr, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1994. Walter had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 52, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2018 - April 9, 2021
FIDELITY BROKERAGE SERVICES LLC
March 6, 2018 - April 5, 2021
NATIONAL FINANCIAL SERVICES LLC
March 14, 2011 - November 6, 2013
MESIROW FINANCIAL, INC.
September 22, 2008 - October 23, 2008
BARCLAYS CAPITAL INC.
November 28, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
March 19, 2003 - December 15, 2005
ADVEST, INC.
August 17, 1999 - March 14, 2003
MORGAN STANLEY & CO. LLC
November 10, 1995 - September 10, 1999
GOLDMAN SACHS & CO. LLC
July 22, 1994 - July 11, 1995
CITIGROUP GLOBAL MARKETS INC.
February 22, 1994 - June 2, 1994
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
Series 7TO
Date: 11/20/2023
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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