James P. 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.
James Philip Walker was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 7 firms and has passed the Series 65, Series 63, Series 1, Series 53 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2003 - July 31, 2013
KMS FINANCIAL SERVICES, INC.
July 22, 1994 - July 31, 2013
KMS FINANCIAL SERVICES, INC.
August 30, 1984 - July 28, 1994
FINANCIAL ARCHITECTS SECURITIES CORPORATION
July 15, 1983 - September 5, 1984
CAPITAL WEST SECURITIES, INC.
July 26, 1974 - November 14, 1983
FIRST COLUMBIA CORPORATION
August 5, 1971 - September 6, 1974
AMERICAN PENSION INVESTMENTS, INC.
March 5, 1970 - July 2, 1984
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
July 22, 1968 - November 26, 1971
SYMETRA SECURITIES, 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
Series 1
Date: 7/17/1968
Registered Representative ExaminationSeries 40
Date: 12/14/1976
Registered Principal ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 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.
