William H. 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.
William Henry Walker was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 4 firms and has passed the Series 63, Series 5, PC, Series 1, Series 8 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
October 31, 2003 - December 13, 2005
HOWARD WEIL INCORPORATED
April 26, 2000 - October 31, 2003
LEGG MASON WOOD WALKER, INCORPORATED
April 27, 1985 - April 26, 2000
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
December 20, 1972 - December 25, 1974
CITIGROUP GLOBAL MARKETS 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 5
Date: 11/17/1981
Interest Rate Options ExaminationPC
Date: 7/5/1979
AMEX Put and Call ExamSeries 1
Date: 12/14/1972
Registered Representative ExaminationSeries 8
Date: 2/15/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HOWARD WEIL INCORPORATED
CRD#: 30958 / SEC#: , 8-45259
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POYDRAS CAPITAL, LLC | SOLE SHAREOWNER | |
| BENEDETTO, LEONARD LAWRENCE JR | CHIEF COMPLIANCE OFFICER | 2815347 |
| LEE, JAMES HENRY JR | DIRECTOR | 1186327 |
| MCCARTNEY, JOHN FRANCIS | DIRECTOR | 4710908 |
| MURPHY, DANIEL THOMAS | DIRECTOR | 1046010 |
| PURSLEY, PAUL EVERLING | PRESIDENT, DIRECTOR | 873016 |
| SANCHEZ, WILLIAM DAVID | DIRECTOR | 2879762 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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