Walter J. Maccarron
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 John Maccarron was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1971. Walter had worked at 18 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2020 - September 11, 2020
ASCENDIANT CAPITAL MARKETS, LLC
April 23, 2010 - December 29, 2017
ALAMO CAPITAL
April 19, 2010 - May 28, 2020
ALAMO CAPITAL
May 18, 2009 - March 24, 2010
CHICAGO INVESTMENT GROUP, LLC
May 12, 2008 - May 21, 2009
JESUP & LAMONT SECURITIES CORP
August 20, 2007 - December 23, 2008
EMPIRE FINANCIAL GROUP, INC.
October 19, 2004 - August 16, 2007
WEDBUSH SECURITIES INC.
August 8, 2001 - October 14, 2004
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 7, 2000 - August 29, 2001
J.P. MORGAN SECURITIES LLC
December 11, 1999 - January 10, 2000
WELLS FARGO SECURITIES INC.
September 25, 1998 - December 22, 1999
ROTH CAPITAL PARTNERS, LLC
May 29, 1991 - September 16, 1998
WEDBUSH SECURITIES INC.
February 2, 1991 - March 7, 1991
INVEST FINANCIAL CORPORATION
June 8, 1989 - April 1, 1991
PRUDENTIAL EQUITY GROUP, LLC
October 3, 1984 - June 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
June 12, 1984 - October 29, 1984
BECKER PARIBAS INCORPORATED
April 22, 1983 - June 15, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 1, 1979 - April 28, 1983
KIDDER, PEABODY & CO. INCORPORATED
June 5, 1973 - March 14, 1979
CITIGROUP GLOBAL MARKETS INC.
November 10, 1971 - June 18, 1973
HAMBRECHT & QUIST LLC
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: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 6/2/1967
Registered Representative ExaminationSeries 8
Date: 4/17/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ASCENDIANT CAPITAL MARKETS, LLC
CRD#: 152912 / SEC#: , 8-68487
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 10 |
Red Flags
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