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MW

Myles A. Walton

WOLFE RESEARCH SECURITIES
Boston, MA 02110
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CRD#: 4422948
MW

Professional summary


Myles Alexander Walton, who also goes by Myles Alexander Walton, Myles Walton, is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in Boston, Massachusetts.

Myles is registered as a RR (Registered Representative) and started their career in finance in 2002. Myles has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Myles Alexander Walton | Myles Walton

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Myles Alexander Walton's CRS (Customer Relationship Summary).

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

September 21, 2022 - Present

WOLFE RESEARCH SECURITIES

Office #1: 1 International Place Suite 790 Boston Ma 02110 Suite 790, Boston, MA 02110
BD
CRD#: 151850
Boston, MA
Past

March 15, 2018 - September 15, 2022

UBS SECURITIES LLC

BD
CRD#: 7654
BOSTON, MA
Past

April 20, 2010 - March 9, 2018

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
BOSTON, MA
Past

January 14, 2008 - March 16, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOSTON, MA
Past

May 26, 2004 - January 14, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
BOSTON, MA
Past

October 16, 2002 - May 6, 2004

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(9/21/2022)
RR
New York
(9/21/2022)

Exams


State Security Law Exam
RR
Series 63
Date: 11/4/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm


WR
WOLFE RESEARCH SECURITIES
WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES

CRD#: 151850 / SEC#: , 8-68406

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information


Main Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Mailing Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Phone number
(646) 845-0700
Established
New York since 08/03/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (48 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
WOLFE HOLDCO, LLCSOLE OWNER
JORDAN, FRANCISCFO/FINOP5634167
PALLANTE, SANDRA MARIEGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER2018926
RYAN, PETER WILLIAMVICE CHAIRMAN2009055
WOLFE, EDWARD MARKCEO2804319

Disclosures


Regulatory Event1

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.

Company Information


WOLFE RESEARCH SECURITIES

CRD#: 151850Boston, MA 02110

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