Martin A. Walden
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.
Martin Alexander Walden was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 2006. Martin had worked at 8 firms and has passed the Series 65, SIE, Series 7, Series 6 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
April 26, 2011 - January 27, 2021
SECURIAN FINANCIAL SERVICES, INC.
February 23, 2011 - January 27, 2021
SECURIAN FINANCIAL SERVICES, INC.
September 17, 2010 - December 31, 2010
J. W. COLE ADVISORS, INC.
September 1, 2010 - December 31, 2010
J.W. COLE FINANCIAL, INC.
March 23, 2009 - December 31, 2010
SCHLAGER SCHLAGER & LEVIN
May 5, 2008 - September 29, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 5, 2008 - March 7, 2008
VALIC FINANCIAL ADVISORS, INC.
January 30, 2007 - March 7, 2008
VALIC FINANCIAL ADVISORS, INC.
February 6, 2006 - May 12, 2006
METROPOLITAN LIFE INSURANCE COMPANY
February 6, 2006 - May 12, 2006
MSI FINANCIAL SERVICES, INC.
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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
