Walter J. Schuett
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 Joseph Schuett was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1970. Walter had worked at 7 firms and has passed the Series 63, SIE, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 1999 - October 6, 2014
FINANCE 500, INC.
April 5, 1995 - December 31, 1998
FINANCE 500, INC.
October 17, 1994 - April 10, 1995
INDEPENDENT FINANCIAL GROUP, LLC
March 15, 1983 - October 17, 1994
GREAT AMERICAN SECURITIES INC.
December 8, 1978 - February 14, 1983
MORGAN STANLEY DW INC.
February 21, 1974 - October 20, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 2, 1973 - March 25, 1974
DUPONT WALSTON, INCORPORATED
July 24, 1970 - July 2, 1973
F I DUPONT GLORE FORGAN & CO
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 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 10/6/1960
Registered Representative ExaminationCurrent Firm
FINANCE 500, INC.
CRD#: 12981 / SEC#: , 8-28302
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
