Walter A. Ausman
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 Aaron Ausman, who also goes by Wally Ausman, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1996. Walter had worked at 5 firms and has passed the Series 66, Series 63, 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
June 1, 2011 - June 11, 2012
GRADIENT ADVISORS, LLC
November 16, 2007 - August 6, 2009
QUESTAR CAPITAL CORPORATION
March 28, 1997 - December 16, 1997
SII INVESTMENTS, INC.
September 20, 1996 - April 3, 1997
MARINER FINANCIAL SERVICES, INC.
March 1, 1996 - August 26, 1996
WMA SECURITIES, INC.
Primary Firm SEC Registration
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
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
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,222 |
| AUM (Assets Under Management) | $ 218,611,410 |
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.
