Walter J. Clarke
Professional summary
Walter Jerome Clarke was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Walter is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Walter had worked at 4 firms, which includes OXFORD INVESTMENT PARTNERS LLC, WELLS FARGO CLEARING SERVICES LLC, PIPER SANDLER & CO., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2004 - December 31, 2012
OXFORD INVESTMENT PARTNERS, LLC
September 8, 2000 - May 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 17, 1996 - September 22, 2000
PIPER SANDLER & CO.
March 7, 1995 - December 9, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
OXFORD INVESTMENT PARTNERS, LLC
CRD#: 124791 / SEC#: 801-61873
Contact information
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