Victor D. 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.
Victor Donivan Walker was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1994. Victor had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, 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
August 10, 2020 - July 23, 2024
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
February 13, 2014 - November 7, 2018
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
June 17, 2009 - September 8, 2011
SECURITIES AMERICA, INC.
February 6, 2009 - March 27, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
February 6, 2009 - March 27, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 1998 - February 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 1998 - February 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 1997 - May 17, 1998
COREBRIDGE CAPITAL SERVICES, INC.
July 19, 1995 - July 15, 1997
SUNAMERICA SECURITIES, INC.
June 14, 1994 - February 13, 1995
RAUSCHER PIERCE REFSNES, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
CRD#: 103460 / SEC#: , 8-52179
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMJ HOLDINGS, INC. | SHAREHOLDER | |
| CUCCIA, GARY JOHN | CEO/CCO/CFO/FINOP | 1386493 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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