Timothy D. Walker
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.
Timothy David Walker, who also goes by Tim David Walker, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2002. Timothy had worked at 8 firms and has passed the Series 63, SIE, Series 6 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
November 2, 2016 - August 11, 2017
W&S BROKERAGE SERVICES, INC.
February 1, 2010 - December 31, 2010
EQUITY SERVICES, INC.
January 28, 2010 - December 31, 2010
EQUITY SERVICES, INC.
August 1, 2008 - December 31, 2009
NATIONWIDE SECURITIES, LLC
August 1, 2008 - December 31, 2009
NATIONWIDE SECURITIES, LLC
June 13, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
May 31, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
April 7, 2006 - June 1, 2007
ONEAMERICA SECURITIES, INC.
April 3, 2006 - June 1, 2007
ONEAMERICA SECURITIES, INC.
October 29, 2002 - March 31, 2006
OSAIC FA, INC.
October 22, 2002 - March 31, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 22, 2002 - March 31, 2006
OSAIC FA, INC.
April 25, 2002 - October 2, 2002
FIFTH THIRD SECURITIES, INC.
Primary Firm SEC Registration
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
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
Current Firm
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
Contact information
SEC notice filing (33 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | OWNER | |
| BRODIE, TROY DALE | PRESIDENT | 1924559 |
| DELUCA, JAMES JOSEPH | VP, MARKETING | 5420948 |
| HERRON, SARAH SPARKS | CORPORATE SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | TREASURER | 6607547 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 175,814,665 |
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.
