Brian T. 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.
Brian Thomas Walker, CFP®, who also goes by Brian Walker, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1995. Brian had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2019 - April 6, 2021
CETERA INVESTMENT ADVISERS LLC
December 4, 2019 - April 6, 2021
CETERA INVESTMENT SERVICES LLC
August 30, 2018 - December 3, 2019
BB&T SECURITIES, LLC
August 2, 2018 - December 3, 2019
BB&T SECURITIES, LLC
February 2, 2011 - May 12, 2014
BB&T INVESTMENT SERVICES, INC.
February 2, 2011 - May 12, 2014
BB&T INVESTMENT SERVICES, INC.
October 30, 2002 - February 3, 2011
SYNOVUS SECURITIES, INC.
October 18, 2002 - February 3, 2011
SYNOVUS SECURITIES, INC.
April 6, 2002 - October 28, 2002
STONEX SECURITIES INC.
December 5, 2001 - April 6, 2002
INTL CUSTODY & CLEARING SOLUTIONS INC.
May 30, 2000 - December 12, 2001
NYLIFE SECURITIES LLC
January 21, 1997 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 21, 1995 - January 3, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 21, 1995 - January 3, 1996
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
