Gregory J. 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.
Gregory John Walker was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1970. Gregory had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2015 - August 2, 2022
NEXT FINANCIAL GROUP, INC.
January 14, 2015 - August 2, 2022
NEXT FINANCIAL GROUP, INC.
July 21, 2000 - January 20, 2015
VOYA FINANCIAL ADVISORS, INC.
February 2, 1999 - January 20, 2015
VOYA FINANCIAL ADVISORS, INC.
May 3, 1996 - February 2, 1999
OSAIC FS, INC.
November 3, 1976 - May 6, 1996
VOYA FINANCIAL ADVISORS, INC.
March 16, 1970 - September 6, 1976
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/3/1970
Registered Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
