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WS

Walter A. Stackler

SHELTER ROCK CAPITAL GROUP LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2889284
WS

Professional summary

Walter Andrew Stackler is a registered financial professional currently at SHELTER ROCK CAPITAL GROUP LLC located in New York, New York.

Walter is registered as a RR (Registered Representative) and started their career in finance in 2001. Walter has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Walter Andrew Stackler's CRS (Customer Relationship Summary).
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

October 20, 2016 - Present

SHELTER ROCK CAPITAL GROUP LLC

Office #1: 10 East 53rd, Suite 1200, New York, NY 10022
BD
CRD#: 156753
New York, NY
Past

August 29, 2014 - October 20, 2016

NORTH SEA SECURITIES L.P.

BD
CRD#: 35530
NEW YORK, NY
Past

July 12, 2010 - June 10, 2013

GREENHILL & CO., LLC

BD
CRD#: 40290
NEW YORK, NY
Past

November 30, 2001 - July 14, 2010

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(11/2/2016)
RR
Alaska
(3/26/2019)
RR
Arizona
(10/28/2016)
RR
Arkansas
(7/30/2024)
RR
California
(10/28/2016)
RR
Colorado
(11/2/2016)
RR
Connecticut
(10/28/2016)
RR
Delaware
(5/15/2019)
RR
District of Columbia
(3/27/2019)
RR
Florida
(10/28/2016)
RR
Georgia
(7/10/2024)
RR
Hawaii
(7/12/2019)
RR
Illinois
(10/28/2016)
RR
Indiana
(11/7/2016)
RR
Iowa
(6/27/2024)
RR
Kansas
(6/27/2024)
RR
Kentucky
(7/2/2024)
RR
Louisiana
(3/25/2019)
RR
Maine
(4/26/2019)
RR
Maryland
(10/28/2016)
RR
Massachusetts
(10/28/2016)
RR
Michigan
(7/11/2024)
RR
Minnesota
(11/9/2016)
RR
Missouri
(11/18/2016)
RR
Montana
(2/17/2017)
RR
Nebraska
(3/29/2019)
RR
New Hampshire
(2/14/2017)
RR
New Jersey
(7/23/2024)
RR
New Mexico
(4/5/2019)
RR
New York
(10/20/2016)
RR
North Carolina
(7/5/2024)
RR
North Dakota
(3/26/2019)
RR
Ohio
(10/28/2016)
RR
Oklahoma
(3/29/2019)
RR
Oregon
(10/28/2016)
RR
Pennsylvania
(10/28/2016)
RR
Rhode Island
(3/27/2019)
RR
South Carolina
(1/10/2018)
RR
Tennessee
(7/18/2024)
RR
Texas
(11/8/2016)
RR
Utah
(8/28/2024)
RR
Virginia
(10/28/2016)
RR
Washington
(3/29/2019)
RR
West Virginia
(7/18/2024)
RR
Wisconsin
(3/20/2019)
RR
Wyoming
(7/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/19/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/29/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/6/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SR
SHELTER ROCK CAPITAL GROUP LLC
GLOBAL CAPITAL ACCESS LLC | SHELTER ROCK CAPITAL GROUP LLC | SHELTER ROCK CAPITAL ADVISORS LLC

CRD#: 156753 / SEC#: , 8-68818

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
10 East 53rd, Suite 1200, New York, NY 10022
Mailing Address
10 East 53rd, Suite 1200, New York, NY 10022
Phone number
(646) 768-2058
Established
Delaware since 04/12/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SHELTER ROCK CAPITAL HOLDINGS LLCMEMBER
DECOENE, THOMAS JOHNCCO2651023
FULVIO, GENNARO JOHNFINOP, CFO2435828
STACKLER, WALTER ANDREWMANAGER AND CEO2889284

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

SHELTER ROCK CAPITAL GROUP LLC

CRD#: 156753New York, NY 10022

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