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TW

Thomas M. Walkley

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CRD#: 3114675
TW

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.

Thomas Michael Walkley, who also goes by Mike Walkley, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Walkley

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

March 26, 2012 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

August 23, 2010 - June 13, 2024

CANACCORD GENUITY LLC

BD
CRD#: 1020
MINNEAPOLIS, MN
Past

May 6, 2004 - August 20, 2010

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

February 6, 2004 - May 5, 2004

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

November 7, 2000 - February 6, 2004

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
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
RR
Series 63
Date: 11/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 12/21/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/4/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/6/2000
General Securities Representative Examination

Current Firm

CG
CANACCORD GENUITY SECURITIES LLC
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) | UNTERBERG, HARRIS & DE SANTIS L.P. | UNTERBERG HARRIS, L.P. | COLLINS STEWART LLC. | COLLINS STEWART LLC | CANACCORD GENUITY SECURITIES LLC | C.E. UNTERBERG,TOWBIN ADVISERS LLC | C.E. UNTERBERG, TOWBIN, LLC. | C.E. UNTERBERG, TOWBIN LLC

CRD#: 24790 / SEC#: , 8-41403

BD
Terminated by SEC on 11/27/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/01/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COLLINS STEWART INC.HOLDING COMPANY
GREEN, HOWARD MICHAELEXECUTIVE COMMITTEE MEMBER, CFO2535812
SORRENTINO, RICHARD ANTHONYCHIEF COMPLIANCE OFFICER430898
TOTH, STEPHEN MICHAELEXECUTIVE COMMITTEE MEMBER, COO2867919
WHALING, MARK DRISCOLLEXECUTIVE COMMITTEE MEMBER, PRESIDENT3100523

Disclosures

Regulatory Event21
Arbitration1

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

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

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