Shane P. Walton
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.
Shane Patrick Walton, CIMA® was a registered financial professional .
Shane is a previously registered financial professional and started their career in finance in 1998. Shane had worked at 4 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2011 - May 18, 2020
HFO SERVICES CORPORATION
May 18, 2009 - November 3, 2009
MADISON PROPRIETARY TRADING GROUP, LLC
July 1, 1998 - May 20, 2009
COWEN AND COMPANY
June 19, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
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
Series 55
Date: 10/20/1998
Limited Representative-Equity Trader ExamCurrent Firm
HFO SERVICES CORPORATION
CRD#: 131094 / SEC#:
Contact information
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.
