Bruce J. Walker
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.
Bruce James Walker was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1998. Bruce had worked at 4 firms and has passed the Series 65, Series 63, SIE 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
June 17, 2013 - September 15, 2016
INVESTORS CAPITAL CORP.
June 17, 2013 - September 15, 2016
INVESTORS CAPITAL CORP.
June 27, 2012 - June 28, 2013
LPL FINANCIAL LLC
April 20, 2004 - June 25, 2012
LPL FINANCIAL LLC
April 20, 2004 - June 28, 2013
LPL FINANCIAL LLC
March 30, 2000 - April 22, 2004
UBS FINANCIAL SERVICES INC.
February 1, 2000 - April 22, 2004
UBS FINANCIAL SERVICES INC.
August 27, 1998 - January 12, 2000
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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