Chad E. 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.
Chad Edward Walker was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 1996. Chad had worked at 7 firms and has passed the 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
October 29, 2009 - January 23, 2012
FORESIDE DISTRIBUTION SOLUTIONS, LLC
June 21, 2006 - October 2, 2009
NATCITY INVESTMENTS, INC.
June 15, 2004 - September 30, 2005
FIFTH THIRD SECURITIES, INC.
February 9, 1999 - June 17, 2004
CONSECO EQUITY SALES, INC.
May 29, 1997 - July 31, 1998
CHARLES SCHWAB & CO., INC.
August 21, 1996 - January 16, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 21, 1996 - January 16, 1997
OSAIC FA, INC.
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
FORESIDE DISTRIBUTION SOLUTIONS, LLC
CRD#: 118787 / SEC#: , 8-53686
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | OWNER | |
| BERTHY, RICHARD JOHN MR. | PRESIDENT/MANAGER/DIRECTOR/TREASURER | 1341368 |
| DIVALERIO, JENNIFER KAY | VICE PRESIDENT | 3236826 |
| FAIRBANKS, MARK ALAN | VICE PRESIDENT | 1847318 |
| HOOPES, JENNIFER ELLEN | SECRETARY | 5462575 |
| MOSCARITOLO, SUSAN KALLAI | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2618909 |
| SOMMERS, WESTON | FINANCIAL AND OPERATIONS PRINCIPAL | 5290145 |
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.
