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WS

Walker P. Sandlin

STONEBRIDGE CAPITAL MANAGEMENT NW
Ruidoso, NM
Some features on this profile are disabled
CRD#: 2855862
WS

Professional summary

Walker Patterson Sandlin III is a registered financial advisor currently at STONEBRIDGE CAPITAL MANAGEMENT NW, LLC located in Ruidoso, New Mexico.

Walker is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Walker has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 39, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walker Patterson Sandlin III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 9, 2010 - Present

STONEBRIDGE CAPITAL MANAGEMENT NW, LLC

RIA
CRD#: 147392
Ruidoso, NM
Past

April 9, 2010 - December 31, 2010

STONEBRIDGE CAPITAL MANAGEMENT NW, LLC

RIA
CRD#: 147392
RUIDOSO, NM
Past

August 1, 2008 - March 29, 2010

STONEBRIDGE CAPITAL MANAGEMENT NW, LLC

RIA
CRD#: 147392
FOX ISLAND, WA
Past

March 24, 2006 - May 28, 2008

RP CAPITAL LLC

BD
CRD#: 134768
GIG HARBOR, WA
Past

August 31, 2000 - October 8, 2004

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
TACOMA, WA
Past

October 29, 1998 - October 8, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

March 27, 1997 - September 28, 1998

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(1/27/2011)
IAR
New Mexico
(1/26/2024)
IAR
Washington
(4/9/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/9/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/26/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 6/16/2009
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/25/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/18/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

SC
STONEBRIDGE CAPITAL MANAGEMENT NW, LLC
STONEBRIDGE CAPITAL MANAGEMENT NW, LLC | WALKER P SANDLIN III, REGISTERED INVESTMENT ADVISOR

CRD#: 147392 / SEC#:

California
Registered Investment Advisory firm - (3/13/2009 Approved)
New Mexico
Registered Investment Advisory firm - (4/24/2023 Approved)
Washington
Registered Investment Advisory firm - (8/1/2008 Approved)
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Contact information

Main Address
Ruidoso, NM
Mailing Address
133 San Francisco Blvd, San Anselmo, CA 94960
Phone number
(253) 678-2370
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts114
AUM (Assets Under Management)$ 49,374,219

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.

Company Information

STONEBRIDGE CAPITAL MANAGEMENT NW, LLC

CRD#: 147392Ruidoso, NM

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