Walter J. Morgenstern
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 Jared Morgenstern was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1971. Walter had worked at 4 firms and has passed the Series 63, Series 55, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2012 - February 10, 2014
STANDARD CREDIT SECURITIES INC.
November 23, 2009 - December 2, 2010
AVATAR CAPITAL GROUP LLC
July 3, 2000 - April 25, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
July 14, 1971 - July 3, 2000
ASIEL & CO. 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
Series 55
Date: 4/6/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 7/12/1971
Registered Representative ExaminationCurrent Firm
STANDARD CREDIT SECURITIES INC.
CRD#: 42813 / SEC#: , 8-50011
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION (NORTH AMERICA) INC. | 100% OWNER | |
| ARAGONA, ANTHONY THOMAS | CHIEF OPERATIONS OFFICER | 4271496 |
| ASSENTATO, EMIL | CHAIRMAN OF THE BOARD OF DIRECTORS | 1952191 |
| EARNHARDT, ERIC MICHAEL | CHIEF COMPLIANCE OFFICER, AML OFFICER | 1855856 |
| FEWER, DONALD PATRICK | CHIEF EXECUTIVE OFFICER | 1415123 |
| RICCIARDI, JUDITH ANN | EXECUTIVE VICE PRESIDENT, SECRETARY, TREASURER, FINOP, CFO | 2260346 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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