Carl R. Walston
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.
Carl Rex Walston was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1958. Carl had worked at 11 firms and has passed the Series 65, Series 63, Series 53, Series 27 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
March 8, 2001 - February 10, 2003
AGINCOURT, LTD.
April 9, 1996 - December 1, 1999
ALEXANDER, WESCOTT, & CO., INC.
July 25, 1995 - December 16, 1995
DERBY SECURITIES, INC.
December 4, 1987 - September 6, 1994
CX, INC.
January 30, 1985 - April 9, 1985
S. D. COHN & CO.
October 12, 1983 - February 19, 1985
DEAK- PERERA SECURITIES, INC.
May 2, 1977 - January 29, 1978
SHEARSON HAYDEN STONE INC.
November 1, 1974 - April 4, 1977
JESUP & LAMONT SECURITIES CO., INC.
March 18, 1974 - June 1, 1974
REYNOLDS SECURITIES, INC.
August 10, 1973 - December 24, 1973
DUPONT WALSTON, INCORPORATED
January 27, 1958 - August 10, 1973
WALSTON-CO 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
Current Firm
AGINCOURT, LTD.
CRD#: 36661 / SEC#: , 8-47651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOVE, DOUGLAS ASHLEY | DIRECTOR, CHAIRMAN OF THE BOARD, CEO, PRES, FINOP | 4083516 |
| MORRISON, ERNEST ANGUS | DIRECTOR | 2747137 |
| SICKLES, JOHN FREDERICK | SHAREHOLDER | 501253 |
| SMITH, RICHARD WALTER | SHAREHOLDER | 428697 |
| SWENSON, GREGORY ROBERT | PRESIDENT (03/2009) GSP (10/08), SECRETARY,CCO AND AML OFFICER(01/2014) , | 2236695 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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