James B. Walker

ADP BROKER-DEALER

Florham Park, NJ 07932

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CRD#: 3187810

Professional summary

James Byron Walker is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Florham Park, New Jersey.

James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

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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

Current

December 6, 2011 - Present

ADP BROKER-DEALER, INC.

Office #1: 71 Hanover Road, Florham Park, NJ 07932

CRD#: 37693

Florham Park, NJ

Past

July 30, 2010 - October 19, 2011

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

CHICAGO, IL

Past

January 15, 2009 - October 19, 2011

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

June 15, 2005 - December 15, 2006

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

EDEN PRAIRIE, MN

Past

August 27, 2002 - June 2, 2005

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

October 22, 2001 - June 17, 2002

STARFN

CRD#: 7192

CHICAGO, IL

Past

July 30, 1999 - August 10, 2001

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/9/2020)

Florida
(4/6/2016)

Illinois
(9/20/2016)

Indiana
(9/20/2016)

Iowa
(7/11/2014)

Massachusetts
(5/20/2020)

Minnesota
(8/1/2012)

Missouri
(3/20/2020)

Montana
(9/25/2024)

Nebraska
(1/23/2020)

Nevada
(8/31/2023)

New York
(4/5/2016)

North Carolina
(4/4/2016)

North Dakota
(8/2/2012)

Ohio
(4/4/2016)

Oklahoma
(4/4/2016)

Pennsylvania
(4/6/2016)

South Carolina
(9/8/2025)

South Dakota
(8/2/2012)

Texas
(7/1/2023)

Washington
(8/17/2022)

Wisconsin
(8/10/2012)

Exams

State Security Law Exam

Series 63

Date: 7/31/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/28/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/22/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/29/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ADP BROKER-DEALER, INC.

CRD#: 37693 / SEC#: , 8-47885

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

One Adp Boulevard, Roseland, NJ 07068-1786

Mailing Address

71 Hanover Road Ms - 580, Florham Park, NJ 07932

Phone number

(973) 712-2316

Established

New Jersey since 07/12/1994

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ADP ATLANTIC, LLC	SHAREHOLDER
BARRENECHEA, PATRICIA MARGOT	FINOP	1715189
BLAKE, JAMES PATRICK	PRESIDENT, DIRECTOR	3078844
BOYLE, JAMES RICHARD	AML OFFICER	3137180
DOSPASSOS-KRIEG, KRISTIN ANNE	DIRECTOR	3079254
HANLEY, JUANITA DAVIDA	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT	5217439
HODGES, JEFFRY AARON	DIRECTOR	5865575
HUREAU, MICHAEL RAY	DIRECTOR	5990787
MCCUE, TERRANCE	RISK MANAGEMENT OFFICER	7259942

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James B. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Byron Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

EMPOWER FINANCIAL SERVICES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

STARFN

DWS DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/2012

Series 65

Date: 7/28/2010

SIE

Date: 10/1/2018

Series 7

Date: 3/22/2001

Series 6

Date: 7/29/1999

FINRA

Current Firm

ADP BROKER-DEALER, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ADP BROKER-DEALER, INC.

TRUST BUT VERIFY

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