Walter B. Lee
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 Best Lee, who also goes by Walter Best Lee, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1968. Walter had worked at 6 firms and has passed the Series 65, Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2002 - May 17, 2012
GIRARD SECURITIES, INC.
August 23, 2002 - May 17, 2012
GIRARD SECURITIES, INC.
November 28, 1997 - September 5, 2002
SPELMAN & CO., INC.
January 28, 1995 - December 12, 1997
UBS FINANCIAL SERVICES INC.
February 23, 1978 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
January 27, 1978 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
November 27, 1968 - March 6, 1978
CROWELL, WEEDON & CO.
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
PC
Date: 6/28/1977
AMEX Put and Call ExamSeries 1
Date: 4/11/1968
Registered Representative ExaminationCurrent Firm
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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