Sam T. Walter
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.
Sam Tompkins Walter JR, who also goes by Tom Walter, was a registered financial advisor .
Sam is a previously registered financial advisor and started their career in finance in 1966. Sam had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 5, PC, Series 000, Series 1, Series 4, Series 12 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
August 10, 2004 - April 5, 2005
EMMETT A LARKIN COMPANY, INC.
February 14, 2002 - June 24, 2004
MORGAN KEEGAN & COMPANY, LLC
February 4, 2002 - June 24, 2004
MORGAN KEEGAN & COMPANY, LLC
August 14, 2000 - January 15, 2002
UBS FINANCIAL SERVICES INC.
March 19, 1999 - August 14, 2000
J.C. BRADFORD & CO.
April 11, 1988 - May 5, 1988
LEHMAN BROTHERS INC.
April 5, 1988 - March 25, 1999
WACHOVIA SECURITIES, INC.
February 24, 1978 - August 16, 1979
MORGAN STANLEY DW INC.
March 31, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
December 10, 1974 - May 1, 1976
BACHE & CO INCORPORATED
January 10, 1966 - September 22, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 7, 1966 - April 11, 1988
E. F. HUTTON & COMPANY 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: 9/28/1981
Interest Rate Options ExaminationPC
Date: 10/15/1979
AMEX Put and Call ExamSeries 000
Date: 1/7/1966
General Securities Principal ExaminationSeries 1
Date: 1/7/1966
Registered Representative ExaminationSeries 12
Date: 11/24/1975
NYSE Branch Manager ExaminationSeries 40
Date: 11/24/1975
Registered Principal ExaminationCurrent Firm
EMMETT A LARKIN COMPANY, INC.
CRD#: 6625 / SEC#: , 8-11922
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
