Walter T. Bross
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 Thomas Bross was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1970. Walter had worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 15, Series 3, Series 5, Series 1, Series 24, Series 9, Series 10, Series 53, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2022 - February 11, 2025
STRATEGIC ADVISORY SERVICES
June 27, 2022 - January 19, 2023
LPL FINANCIAL LLC
January 13, 2004 - July 19, 2022
UBS FINANCIAL SERVICES INC.
May 20, 1993 - July 19, 2022
UBS FINANCIAL SERVICES INC.
July 6, 1988 - June 18, 1993
LEHMAN BROTHERS INC.
October 12, 1973 - June 21, 1993
THE ROBINSON-HUMPHREY COMPANY, LLC
July 1, 1970 - December 14, 1973
REYNOLDS SECURITIES, INC.
Primary Firm SEC Registration
STRATEGIC ADVISORY SERVICES
CRD#: 287984 / SEC#: 801-123188
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 1/31/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 1
Date: 4/24/1968
Registered Representative ExaminationSeries 12
Date: 10/25/1978
NYSE Branch Manager ExaminationSeries 40
Date: 5/15/1974
Registered Principal ExaminationCurrent Firm
STRATEGIC ADVISORY SERVICES
CRD#: 287984 / SEC#: 801-123188
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 546 |
| AUM (Assets Under Management) | $ 211,689,342 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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