Walter L. Jensen
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 Lee Jensen was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1974. Walter had worked at 19 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2009 - December 31, 2012
KMS FINANCIAL SERVICES, INC.
December 7, 2007 - August 4, 2009
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
January 5, 2005 - December 11, 2007
THE O.N. EQUITY SALES COMPANY
July 1, 2004 - January 5, 2005
UNITED HERITAGE FINANCIAL SERVICES, INC.
October 18, 2001 - July 9, 2004
PARK AVENUE SECURITIES LLC
June 15, 2001 - October 11, 2001
EPLANNING SECURITIES, INC.
February 13, 2001 - June 18, 2001
FSIC
March 24, 1999 - February 2, 2001
LOCUST STREET SECURITIES, INC.
December 10, 1998 - February 18, 1999
WOODBURY FINANCIAL SERVICES, INC.
February 12, 1996 - December 17, 1998
LPL FINANCIAL LLC
October 26, 1995 - February 12, 1996
THE O.N. EQUITY SALES COMPANY
June 20, 1995 - January 5, 1996
1717 CAPITAL MANAGEMENT COMPANY
March 16, 1993 - June 23, 1995
GUARDIAN INVESTOR SERVICES LLC
October 26, 1990 - March 8, 1993
SELKIRK INVESTMENTS, INC.
October 18, 1988 - October 10, 1990
WALNUT STREET SECURITIES, INC.
July 29, 1988 - March 8, 1993
SELKIRK INVESTMENTS, INC.
May 30, 1985 - October 10, 1990
WALNUT STREET SECURITIES, INC.
June 8, 1983 - September 11, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
September 21, 1982 - January 14, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
April 22, 1981 - August 9, 1982
WAMU INVESTMENTS, INC.
April 24, 1979 - March 5, 1981
LOCUST STREET SECURITIES, INC.
February 27, 1974 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
February 27, 1974 - April 12, 1979
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
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 1
Date: 2/19/1974
Registered Representative ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
