Stanley Walker
Professional summary
Stanley Walker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stanley is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Stanley had worked at 5 firms, which includes CITICORP INVESTMENT SERVICES, DALTON KENT SECURITIES GROUP INC., J. P. GIBBONS & CO. INC., BROOKSTREET SECURITIES CORPORATION, MILLENNIUM SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 1999 - November 13, 2000
CITICORP INVESTMENT SERVICES
April 17, 1998 - September 10, 1998
DALTON KENT SECURITIES GROUP, INC.
March 23, 1998 - April 1, 1998
J. P. GIBBONS & CO., INC.
December 11, 1997 - January 13, 1998
BROOKSTREET SECURITIES CORPORATION
October 3, 1996 - June 30, 1997
MILLENNIUM SECURITIES CORP.
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
Current Firm
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
Red Flags
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