Ian G. 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.
Ian Gordon Walker was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1969. Ian had worked at 14 firms and has passed the Series 63, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 1998 - March 25, 2002
INDIANAPOLIS SECURITIES, INC.
August 23, 1996 - October 23, 1997
BLUESTONE CAPITAL CORP.
July 12, 1996 - July 25, 1996
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
February 14, 1992 - July 29, 1994
BULL & BEAR SECURITIES, INC.
August 3, 1990 - December 6, 1991
W.J. MAIDEN ASSOC., INC.
October 4, 1988 - August 3, 1990
ANQ SECURITIES, INC.
May 10, 1988 - July 18, 1988
WILLIAM M. CADDEN & CO., INC.
August 14, 1987 - July 12, 1988
CARNEGIE SECURITIES CORPORATION
July 27, 1983 - June 25, 1990
SOUTHPORT SECURITIES CORPORATION
May 16, 1977 - January 3, 1978
THE ROBINSON-HUMPHREY COMPANY, LLC
September 17, 1976 - June 18, 1977
KIDDER, PEABODY & CO., INCORPORATED
March 1, 1972 - February 6, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 13, 1971 - February 21, 1972
DEAN WITTER & CO. INCORPORATED
July 14, 1969 - August 18, 1972
WINMILL JONES & WALKER
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 1
Date: 8/31/1959
Registered Representative ExaminationSeries 00
Date: 6/22/1966
General Securities Principal ExaminationCurrent Firm
INDIANAPOLIS SECURITIES, INC.
CRD#: 10399 / SEC#: , 8-27117
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 2 |
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.
