Kelly S. 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.
Kelly Scott Walters was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2001. Kelly had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
November 8, 2012 - July 18, 2017
AVALON SECURITIES, LTD.
May 26, 2011 - October 16, 2012
AMERITECH ADVISORS
June 10, 2009 - May 23, 2011
GVC CAPITAL LLC
April 9, 2007 - April 21, 2009
THINKEQUITY LLC
April 4, 2003 - April 3, 2007
MORGAN JOSEPH TRIARTISAN LLC
January 12, 2001 - December 19, 2002
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
AVALON SECURITIES, LTD.
CRD#: 30522 / SEC#: , 8-44993
Contact information
Documents
Red Flags
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