Herbert L. Walton
Professional summary
Herbert Lashan Walton, who also goes by Herbert L Walton, Herbert Lashan Walton, Herbert Walton, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida.
Herbert is registered as a RR (Registered Representative) and started their career in finance in 1999. Herbert has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 14, Series 30 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Herbert Lashan Walton's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2024 - Present
TRADESTATION SECURITIES, INC.
Office #1: 8050 Sw 10th Street Suite 2000, Plantation, FL 33324August 3, 2021 - March 22, 2024
ALTRUIST FINANCIAL LLC
August 5, 2004 - June 18, 2021
TRADESTATION SECURITIES, INC.
May 7, 2004 - July 26, 2004
NEUBERGER BERMAN BD LLC
January 2, 2001 - July 26, 2004
NEUBERGER BERMAN BD LLC
November 26, 1999 - November 3, 2000
PRUDENTIAL EQUITY GROUP, 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
(4/9/2024)
Exams
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Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | CHIEF OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | CHIEF OPERATING OFFICER & PRESIDENT | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 4 |
Red Flags
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Company Information
TRADESTATION SECURITIES, INC.
CRD#: 39473Plantation, FL 33324TRUST BUT VERIFY
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