Walter T. Mccormick
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 Thomas Mccormick, who also goes by Walter Thomas Mccornick, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1995. Walter had worked at 3 firms and has passed the Series 63, Series 65 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
December 9, 2016 - December 31, 2024
INVESTORS MOSAIC
March 22, 1999 - April 28, 2000
BARINGS SECURITIES LLC
November 1, 1995 - June 23, 1998
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
INVESTORS MOSAIC
CRD#: 168619 / SEC#: 801-130393
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
INVESTORS MOSAIC
CRD#: 168619 / SEC#: 801-130393
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 142 |
| AUM (Assets Under Management) | $ 148,402,354 |
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.
