Walter T. Roberts
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 Tipton Roberts, who also goes by Walter Roberts, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1996. Walter had worked at 3 firms and has passed the Series 63 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
August 20, 2007 - May 10, 2013
COMPASS ADVISORY PARTNERS LLC
March 15, 2004 - May 13, 2013
FSC SECURITIES CORPORATION
January 13, 1997 - May 13, 2013
FSC SECURITIES CORPORATION
April 11, 1996 - December 24, 1996
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
COMPASS ADVISORY PARTNERS LLC
CRD#: 119377 / SEC#: 801-89171
Contact information
Red Flags
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