Luther G. Waller
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.
Luther Gary Waller was a registered financial professional .
Luther is a previously registered financial professional and started their career in finance in 1969. Luther had worked at 5 firms and has passed the Series 1, F04 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
November 14, 1983 - February 18, 1987
COMMONWEALTH EQUITY SECURITIES
June 24, 1980 - November 3, 1983
HERMITAGE CAPITAL CORPORATION
August 16, 1974 - May 28, 1980
JOE M. CLINE & ASSOCIATES, INC.
March 11, 1974 - August 10, 1974
JACQUES-MILLER INVESTMENT COMPANY
August 15, 1969 - January 26, 1975
PLA SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 8/12/1969
Registered Representative ExaminationF04
Date: 8/21/1974
Financial Principal ExaminationSeries 00
Date: 8/21/1974
General Securities Principal ExaminationCurrent Firm
COMMONWEALTH EQUITY SECURITIES
CRD#: 8515 / SEC#: , 8-25770
Contact information
Documents
Red Flags
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