David R. Walters
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.
David Roy Walters, who also goes by Dave Roy Walters, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 6 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2012 - October 29, 2013
WTS PROPRIETARY TRADING GROUP LLC
April 27, 2011 - January 10, 2012
DIMENSION TRADING GROUP, LLC
August 10, 2006 - January 27, 2009
DIMENSION BROKERAGE, LLC
October 15, 2004 - January 3, 2005
GENESIS SECURITIES, LLC
October 20, 2003 - October 8, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
May 10, 2000 - October 21, 2003
WORLDCO, L.L.C.
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: 5/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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