Randall H. Walker

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CRD#: 2946194

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.

Randall Henry Walker, who also goes by Randall H Walker, was a registered financial professional .

Randall is a previously registered financial professional and started their career in finance in 1997. Randall had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randall H Walker

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 4, 2013 - July 8, 2016

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

MUNSTER, IN

Past

July 1, 2005 - May 17, 2013

ONEAMERICA SECURITIES, INC.

CRD#: 4173

MUNSTER, IN

Past

July 24, 2001 - June 10, 2005

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

LAKE ST. LOUIS, MO

Past

April 2, 2001 - July 25, 2001

MARQUIS FINANCIAL SERVICES, INC.

CRD#: 20733

TARZANA, CA

Past

February 25, 2000 - April 5, 2001

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

April 21, 1999 - February 25, 2000

WEDGEWOOD PARTNERS, INC.

CRD#: 21923

ST. LOUIS, MO

Past

November 5, 1997 - April 19, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/25/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/3/1997

General Securities Representative Examination

Current Firm

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184 / SEC#: 801-67704, 8-44786

Terminated by SEC on 12/01/2018

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Contact information

Main Address

16414 San Pedro Avenue Suite 300, San Antonio, TX 78232

Mailing Address

Phone number

Established

Texas since 03/16/1992

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

IPI WRAP FEE PROGRAM BROCHURE (3/31/2018)

IPI DISCLOSURE BROCHURE (3/31/2018)

Direct owners and executive officers

Name	Position	CRD#
AMPF HOLDING CORPORATION	SHAREHOLDER
DULLNIG, RICHARD ROLLE	REGISTERED OPTIONS PRINCIPAL	2215594
MAGLAQUE, CHARLES NEAL	DIRECTOR	5026063
MCANELLY, JAY LANCE	PRES/CEO	2677791
O'CONNELL, PATRICK HUGH	DIRECTOR	2246285
STOREY, MARY ELLEN	CO-CCO	4808171
SUROVIK, BRIAN KEITH	CCO AND COO	4481124

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Randall H. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESTMENT PROFESSIONALS, INC.

ONEAMERICA SECURITIES, INC.

FIRST HEARTLAND CAPITAL, INC.

MARQUIS FINANCIAL SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

WEDGEWOOD PARTNERS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 11/25/1997

SIE

Date: 7/8/2016

Series 7

Date: 11/3/1997

Current Firm

INVESTMENT PROFESSIONALS, INC.

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT PROFESSIONALS, INC.

TRUST BUT VERIFY

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